Gian M. Pierorazio
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.
Gian Michael Pierorazio, who also goes by Gian M Pierorazio, Gian Michael Pierorazio, Mike Pierorazio, was a registered financial professional .
Gian is a previously registered financial professional and started their career in finance in 2012. Gian had worked at 2 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - February 2, 2017
STEBEN & COMPANY, LLC
November 5, 2012 - May 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2012 - May 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 108,117,452 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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