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CG

Carl J. Giordano

Some features on this profile are disabled
CRD#: 4536079
CG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carl Joseph Giordano, who also goes by Carl J Giordano, was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 2002. Carl had worked at 7 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carl J Giordano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 7, 2012 - September 24, 2013

DESTRA CAPITAL INVESTMENTS LLC

BD
CRD#: 148299
BOZEMAN, MT
Past

June 23, 2010 - September 22, 2010

BURCH & COMPANY, INC

BD
CRD#: 102280
LEAWOOD, KS
Past

October 18, 2007 - April 3, 2009

OLD MUTUAL CAPITAL

RIA
CRD#: 131405
DENVER, CO
Past

October 3, 2007 - April 3, 2009

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
BOSTON, MA
Past

April 11, 2006 - March 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

April 7, 2006 - March 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 19, 2004 - March 27, 2006

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

September 9, 2003 - May 11, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA
CRD#: 39805
LISLE, IL
Past

July 1, 2003 - March 27, 2006

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

August 27, 2002 - August 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PARAMUS, NJ
Past

July 2, 2002 - August 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/26/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2002
General Securities Representative Examination

Current Firm

DC
DESTRA CAPITAL INVESTMENTS LLC
DESTRA CAPITAL INVESTMENTS LLC | DESTRACOM INVESTMENTS LLC | DESTRA INVESTMENTS LLC

CRD#: 148299 / SEC#: , 8-68006

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
443 N. Willson Ave., Bozeman, MT 59715
Mailing Address
443 N. Willson Ave., Bozeman, MT 59715
Phone number
(877) 855-3434
Established
Delaware since 08/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DESTRA CAPITAL MANAGEMENT LLCMEMBER AND MANAGER OF DESTRA CAPITAL INVESTMENTS LLC
BLECHNER, MYLES REIDCCO2709013
COSTENBADER, WALTER RUSSELLFINOP/CFO1828345
MARTELLARO, DOMINIC CARLCEO OF DESTRA CAPITAL INVESTMENTS LLC1271857
YOUNT, JAMESPRESIDENT2373645

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

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