Dominick V. Giordano
Professional summary
Dominick Vincent Giordano, who also goes by Dominick Giordano, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Pleasant Hill, California and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Dominick has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dominick Vincent Giordano's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2020 - Present
FIRST TRUST ADVISORS LP
January 9, 2020 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187July 12, 2017 - December 31, 2019
DWS DISTRIBUTORS, INC.
February 29, 2016 - May 9, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 2015 - May 9, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2021)
(1/9/2020)
(2/5/2020)
Exams
FINRA
Current Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
