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NG

Nicole J. Giffuni

EQUILEND
New York, NY 10281
Some features on this profile are disabled
CRD#: 5599587
NG

Professional summary

Nicole Jeannine Giffuni, who also goes by Nicole Jeannine Mccormack, Nicole Mccormack, is a registered financial professional currently at EQUILEND located in New York, New York and AUTOMATED EQUITY FINANCE MARKETS, INC. located in New York, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicole has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Jeannine Mccormack | Nicole Mccormack

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) - BD

Click below to view Nicole Jeannine Giffuni'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®
None

Experience

Current

December 24, 2011 - Present

EQUILEND

Office #1: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
BD
CRD#: 119107
New York, NY
Current

November 30, 2016 - Present

AUTOMATED EQUITY FINANCE MARKETS, INC.

Office #1: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281Office #2: 225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
BD
CRD#: 147941
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

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/23/2011
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AE
AUTOMATED EQUITY FINANCE MARKETS, INC.
AUTOMATED EQUITY FINANCE MARKETS, INC. | EQUILEND CLEARING SERVICES (ECS)

CRD#: 147941 / SEC#: , 8-67941

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

Main Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Mailing Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Phone number
(212) 901-2272
Established
Delaware since 05/21/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EQUILEND CLEARING LLCDIRECT PARENT COMPANY
NIGRELLI, PAUL JOACHIMCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER, FINOP4572522
WACHTER, KAZUKOGENERAL COUNSEL7218349

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

AUTOMATED EQUITY FINANCE MARKETS, INC.

CRD#: 147941New York, NY 10281

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