James Giglio

Some features on this profile are disabled

CRD#: 705951

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.

James Giglio was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1980. James had worked at 12 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 23, 2002 - April 11, 2003

GLOBAL DIRECT FINANCIAL SERVICES LLC

CRD#: 110538

NEW YORK, NY

Past

April 23, 2001 - April 19, 2002

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

January 21, 1992 - September 1, 2001

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Past

July 5, 1990 - September 5, 1990

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 17, 1989 - June 4, 1990

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

Past

September 7, 1988 - August 1, 1989

HAMPTON SECURITIES, INC.

CRD#: 16660

Past

July 12, 1988 - October 24, 1988

R.C. STAMM & CO., INC.

CRD#: 11105

Past

March 18, 1988 - July 27, 1988

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

Past

February 11, 1987 - May 3, 1988

BEURET & COMPANY, LTD.

CRD#: 16198

Past

April 29, 1985 - June 19, 1986

ROONEY, PACE INC.

CRD#: 6218

Past

April 17, 1984 - April 29, 1985

D. H. BLAIR & CO., INC.

CRD#: 6833

Past

March 13, 1984 - April 13, 1984

FINANCIAL CLEARING & SERVICES CORPORATION

CRD#: 6633

Past

January 19, 1980 - July 27, 1981

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845

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

State Security Law Exam

Series 63

Date: 8/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 2/12/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1995

General Securities Principal Examination

Current Firm

GLOBAL DIRECT FINANCIAL SERVICES LLC

CRD#: 110538 / SEC#: , 8-53134

Terminated by SEC on 07/11/2003

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GLOBAL DIRECT SECURITIES SERVICES HOLDING, INC.	SOLE SHAREHOLDER
KOLB, BARBARA ANN	DIRECTOR
KOLB, JOSEPH IVAN	DIRECTOR/PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR OF COMPLIANCE

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Giglio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KIRLIN SECURITIES INC.

M.S. FARRELL & COMPANY, INC.

JOSEPHTHAL & CO., INC.

D. H. BLAIR & CO., INC.

HAMPTON SECURITIES, INC.

R.C. STAMM & CO., INC.

PARAGON CAPITAL MARKETS, INC.

BEURET & COMPANY, LTD.

ROONEY, PACE INC.

D. H. BLAIR & CO., INC.

FINANCIAL CLEARING & SERVICES CORPORATION

FIRST MANHATTAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/1/1984

Series 55

Date: 2/12/1999

Series 7

Date: 1/19/1980

Series 24

Date: 5/1/1995

Current Firm

GLOBAL DIRECT FINANCIAL SERVICES LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBAL DIRECT FINANCIAL SERVICES LLC

TRUST BUT VERIFY

Similar Advisors