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CG

Christopher V. Giffuni

OBERON SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5894761
CG

Professional summary

Christopher Vincent Louis Giffuni is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 2 firms and has passed the Series 63, SIE and Series 79 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) - BD

Click below to view Christopher Vincent Louis 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

June 17, 2016 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022
BD
CRD#: 132598
New York, NY
Past

December 15, 2011 - March 11, 2015

KILDARE CAPITAL, INC.

BD
CRD#: 45796
BERWYN, PA

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
Connecticut
(6/17/2016)
RR
New Jersey
(6/17/2016)
RR
New York
(6/17/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/14/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBERON SECURITIES, LLC
OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

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

Main Address
445 Park Avenue, Suite 4b, New York, NY 10022
Mailing Address
445 Park Avenue, Suite 4b, New York, NY 10022
Phone number
(212) 386-7080
Established
New York since 04/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OBERON MANAGEMENT, LLCMEMBER
BRESLAWSKY, ADAM SCOTTMANAGER2522542
EPSTEIN, ELADFINOP, MANAGER, ACO2731183
SCHMIDT, NICOLE ALEXANDRACCO, MANAGER2686117

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

OBERON SECURITIES, LLC

CRD#: 132598New York, NY 10022

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