FG
Frank S. Giusti
SOUTH STREET SECURITIES LLC
New York, NY 10036
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CRD#: 4821938
FG
Professional summary
Frank S Giusti, who also goes by Frank Giusti, is a registered financial professional currently at SOUTH STREET SECURITIES LLC located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2011. Frank has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Giusti
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank S Giusti's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2020 - Present
SOUTH STREET SECURITIES LLC
Office #1: 1155 Sixth Ave 14th Floor, New York, NY 10036BD
CRD#: 125202
New York, NY
Past
September 11, 2019 - November 17, 2020
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
August 20, 2012 - September 12, 2019
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
February 9, 2011 - August 14, 2012
NEWEDGE USA, LLC
BD
CRD#: 36118
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/10/2020)
RR
Alaska(12/10/2020)
RR
Arizona(12/10/2020)
RR
Arkansas(12/10/2020)
RR
California(12/10/2020)
RR
Colorado(12/10/2020)
RR
Connecticut(12/10/2020)
RR
Delaware(12/10/2020)
RR
District of Columbia(12/10/2020)
RR
Florida(12/10/2020)
RR
Georgia(12/10/2020)
RR
Hawaii(12/10/2020)
RR
Idaho(12/10/2020)
RR
Illinois(12/10/2020)
RR
Indiana(12/10/2020)
RR
Iowa(12/10/2020)
RR
Kansas(12/10/2020)
RR
Kentucky(12/10/2020)
RR
Louisiana(12/10/2020)
RR
Maine(12/10/2020)
RR
Maryland(12/10/2020)
RR
Massachusetts(12/10/2020)
RR
Michigan(12/10/2020)
RR
Minnesota(12/10/2020)
RR
Mississippi(12/10/2020)
RR
Missouri(12/10/2020)
RR
Montana(12/10/2020)
RR
Nebraska(12/10/2020)
RR
Nevada(12/10/2020)
RR
New Hampshire(12/10/2020)
RR
New Jersey(12/10/2020)
RR
New Mexico(12/10/2020)
RR
New York(12/10/2020)
RR
North Carolina(12/10/2020)
RR
North Dakota(12/10/2020)
RR
Ohio(12/10/2020)
RR
Oklahoma(12/10/2020)
RR
Oregon(12/10/2020)
RR
Pennsylvania(12/10/2020)
RR
Puerto Rico(12/10/2020)
RR
Rhode Island(12/10/2020)
RR
South Carolina(12/10/2020)
RR
South Dakota(12/10/2020)
RR
Tennessee(12/10/2020)
RR
Texas(12/10/2020)
RR
Utah(12/10/2020)
RR
Vermont(12/10/2020)
RR
Virgin Islands(12/10/2020)
RR
Virginia(12/10/2020)
RR
Washington(12/10/2020)
RR
West Virginia(12/10/2020)
RR
Wisconsin(12/10/2020)
RR
Wyoming(12/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/22/2013
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SOUTH STREET SECURITIES LLC
SOUTH STREET SECURITIES LLC
CRD#: 125202 / SEC#: , 8-65770
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Mailing Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Phone number
(212) 824-0738
Established
Delaware since 03/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
