JC
John F. Cordio
H.C.WAINWRIGHT & CO.
New York, NY 10022
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CRD#: 5954632
JC
Professional summary
John Frank Cordio, who also goes by John Cordio, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 56 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Cordio
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 John Frank Cordio'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
April 15, 2013 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
Past
November 28, 2012 - April 17, 2013
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
August 26, 2011 - May 15, 2012
T3 TRADING GROUP, LLC
BD
CRD#: 154431
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(8/11/2016)
RR
Alaska(8/11/2016)
RR
Arizona(8/11/2016)
RR
Arkansas(8/11/2016)
RR
California(4/15/2013)
RR
Colorado(9/11/2013)
RR
Connecticut(5/7/2013)
RR
Delaware(8/11/2016)
RR
District of Columbia(8/11/2016)
RR
Florida(6/3/2013)
RR
Georgia(8/11/2016)
RR
Hawaii(8/11/2016)
RR
Idaho(8/11/2016)
RR
Illinois(5/2/2013)
RR
Indiana(8/11/2016)
RR
Iowa(8/11/2016)
RR
Kansas(8/11/2016)
RR
Kentucky(8/11/2016)
RR
Louisiana(8/11/2016)
RR
Maine(8/11/2016)
RR
Maryland(4/19/2013)
RR
Massachusetts(5/6/2013)
RR
Michigan(8/11/2016)
RR
Minnesota(4/15/2013)
RR
Mississippi(8/11/2016)
RR
Missouri(8/11/2016)
RR
Montana(8/11/2016)
RR
Nebraska(8/11/2016)
RR
Nevada(4/22/2013)
RR
New Hampshire(8/11/2016)
RR
New Jersey(6/3/2013)
RR
New Mexico(8/11/2016)
RR
New York(4/15/2013)
RR
North Carolina(8/12/2016)
RR
North Dakota(8/11/2016)
RR
Ohio(8/11/2016)
RR
Oklahoma(8/11/2016)
RR
Oregon(8/11/2016)
RR
Pennsylvania(8/11/2016)
RR
Puerto Rico(8/11/2016)
RR
Rhode Island(8/11/2016)
RR
South Carolina(8/11/2016)
RR
South Dakota(8/11/2016)
RR
Tennessee(5/3/2019)
RR
Texas(6/5/2013)
RR
Utah(8/11/2016)
RR
Vermont(8/11/2016)
RR
Virgin Islands(12/11/2018)
RR
Virginia(8/11/2016)
RR
Washington(8/11/2016)
RR
West Virginia(8/11/2016)
RR
Wisconsin(8/11/2016)
RR
Wyoming(9/11/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 8/25/2011
Proprietary Trader Qualification ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
