CG
Caroline N. Giaimo
NABSECURITIES
New York, NY 10172
Some features on this profile are disabled
CRD#: 7114716
CG
Professional summary
Caroline Nicole Giaimo, who also goes by Caroline Nicole Giaomo, is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2019. Caroline has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caroline Nicole Giaomo
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 Caroline Nicole Giaimo'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
October 7, 2019 - Present
NABSECURITIES, LLC
Office #1: 277 Park Avenue 19th Floor, New York, NY 10172BD
CRD#: 47390
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(10/8/2019)
RR
Alaska(10/8/2019)
RR
Arizona(10/8/2019)
RR
Arkansas(10/8/2019)
RR
California(10/8/2019)
RR
Colorado(10/8/2019)
RR
Connecticut(10/8/2019)
RR
Delaware(10/8/2019)
RR
District of Columbia(10/8/2019)
RR
Florida(10/8/2019)
RR
Georgia(10/8/2019)
RR
Hawaii(10/8/2019)
RR
Idaho(10/8/2019)
RR
Illinois(10/8/2019)
RR
Indiana(10/8/2019)
RR
Iowa(10/8/2019)
RR
Kansas(10/8/2019)
RR
Kentucky(10/8/2019)
RR
Louisiana(10/8/2019)
RR
Maine(10/8/2019)
RR
Maryland(10/8/2019)
RR
Massachusetts(10/8/2019)
RR
Michigan(10/8/2019)
RR
Minnesota(10/8/2019)
RR
Mississippi(10/8/2019)
RR
Missouri(10/8/2019)
RR
Montana(10/8/2019)
RR
Nebraska(10/8/2019)
RR
Nevada(10/8/2019)
RR
New Hampshire(10/8/2019)
RR
New Jersey(10/8/2019)
RR
New Mexico(10/8/2019)
RR
New York(10/7/2019)
RR
North Carolina(10/8/2019)
RR
North Dakota(10/8/2019)
RR
Ohio(10/8/2019)
RR
Oklahoma(10/8/2019)
RR
Oregon(10/8/2019)
RR
Pennsylvania(10/8/2019)
RR
Rhode Island(10/8/2019)
RR
South Carolina(10/8/2019)
RR
South Dakota(10/8/2019)
RR
Tennessee(10/8/2019)
RR
Texas(10/8/2019)
RR
Utah(10/8/2019)
RR
Vermont(10/8/2019)
RR
Virginia(10/8/2019)
RR
Washington(10/8/2019)
RR
West Virginia(10/8/2019)
RR
Wisconsin(10/8/2019)
RR
Wyoming(10/8/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/7/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NL
NABSECURITIES, LLC
NABCAPITAL SECURITIES LLC | NATIONAL AUSTRALIA CAPITAL MARKETS, LLC | NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
277 Park Avenue 19th Floor, New York, NY, 10172
Mailing Address
277 Park Avenue 19th Floor, New York, NY, 10172
Phone number
(212) 916-9500
Established
Delaware since 09/05/1998
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
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.
