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Candace L. Palangi

Some features on this profile are disabled
CRD#: 502624
CP

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.

Candace Lynn Palangi, CFA was a registered financial advisor .

Candace is a previously registered financial advisor and started their career in finance in 1978. Candace had worked at 8 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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®
CFA

Chartered Financial Analyst

Experience

Past

March 7, 2011 - December 2, 2011

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

August 7, 2008 - March 10, 2009

HEDGECO SECURITIES, LLC

BD
CRD#: 142498
NEW YORK, NY
Past

June 14, 2006 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 17, 2003 - July 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
BOSTON, MA
Past

January 17, 2003 - July 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 30, 2002 - January 17, 2003

PERSHING LLC

RIA
CRD#: 7560
BOSTON, MA
Past

November 7, 2000 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 19, 1994 - November 10, 2000

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

January 28, 1991 - April 18, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

September 14, 1984 - February 1, 1991

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 4, 1978 - September 21, 1984

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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
IAR
Series 65
Date: 2/5/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/19/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1978
General Securities Representative Examination

Current Firm

NC
NEWOAK CAPITAL MARKETS LLC
GIORDANO - DELLA CAMERA SECURITIES LLC | NEWOAK CAPITAL MARKETS LLC | J. GIORDANO SECURITIES LLC | J. GIORDANO SECURITIES | J GIORDANO SECURITIES LLC | J GIORDANO SECURITIES GROUP | J GIORDANO SECURITIES | GIORDANO DELLACAMERA SECURITIES LLC

CRD#: 104063 / SEC#: , 8-52532

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

Main Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Mailing Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Phone number
(212) 209-0850
Established
Delaware since 12/30/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEWOAK SECURITIES HOLDINGS LLCMEMBER
COHEN, EDWARD BARRYPFO1029283
D'VARI, RONPOO4507652
D'VARI, RONCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO4507652
D'VARI, RONCEO4507652
DALISO, SALVATORE ANTHONYCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO710079

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

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

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