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GG

Gerard L. Giordano

MOOMOO FINANCIAL
JERSEY CITY, NJ 07311
Some features on this profile are disabled
CRD#: 7186571
GG

Professional summary

Gerard L Giordano, who also goes by Gerard Louis Giordano, Gerard Giordano, is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey.

Gerard is registered as a RR (Registered Representative) and started their career in finance in 2020. Gerard has worked at 7 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gerard Louis Giordano | Gerard Giordano

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) - BD

Click below to view Gerard L Giordano's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 28, 2025 - Present

MOOMOO FINANCIAL INC.

Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
BD
CRD#: 283078
JERSEY CITY, NJ
Past

November 14, 2024 - April 9, 2025

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
EAST BRUNSWICK, NJ
Past

November 14, 2024 - April 9, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
EAST BRUNSWICK, NJ
Past

June 25, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
EAST BRUNSWICK, NJ
Past

June 24, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
EAST BRUNSWICK, NJ
Past

September 5, 2023 - April 9, 2024

MORGAN STANLEY

RIA
CRD#: 149777
Jersey City, NJ
Past

March 16, 2023 - April 9, 2024

MORGAN STANLEY

BD
CRD#: 149777
Jersey City, NJ
Past

October 4, 2021 - September 5, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
Jersey City, NJ
Past

September 29, 2021 - September 5, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Jersey City, NJ
Past

November 4, 2020 - August 5, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

September 17, 2020 - August 5, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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
New Jersey
(3/28/2025)
RR
New York
(4/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/28/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2025
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/17/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/12/2023
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MOOMOO FINANCIAL INC.
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC

CRD#: 283078 / SEC#: , 8-69739

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Phone number
(650) 798-5700
Established
Delaware since 12/17/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FUTU US INCSHAREHOLDER
CHAN, WING KEIMANAGING DIRECTOR6616753
DU, SHUANGHEAD OF US OPERATIONS5005050
MCDONALD, NEIL ANTHONYCEO1764574
PALMER, NATHAN TYLERPRESIDENT5805173
PARSONS, DARREN JAMESCHIEF OPERATIONS OFFICER2382680
SHARMA, VICKRAMJITCHIEF LEGAL OFFICER7186502
SHEN, QIUFANGHEAD OF FINANCE3158926
STIFELMAN, GLEN ROBERTCHIEF COMPLIANCE OFFICER1699013

Disclosures

Regulatory Event1
Arbitration2

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.

Company Information

MOOMOO FINANCIAL INC.

CRD#: 283078Jersey City, NJ 07311

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