NG
Nicholas M. Girardi
CONNING INVESTMENT PRODUCTS
Hartford, CT 06103-2627
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CRD#: 7576539
NG
Professional summary
Nicholas Mark Girardi is a registered financial professional currently at CONNING INVESTMENT PRODUCTS, INC. located in Hartford, Connecticut.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Mark Girardi'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
September 19, 2024 - Present
CONNING INVESTMENT PRODUCTS, INC.
Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103-2627RIA
BD
CRD#: 120387
Hartford, CT
Past
September 1, 2022 - July 26, 2024
WELLINGTON FUNDS DISTRIBUTORS INC.
BD
CRD#: 152768
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CONNING INVESTMENT PRODUCTS, INC.
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
RIA
Registered Investment Advisory firm - SEC (6/5/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
California(9/19/2024)
RR
Connecticut(9/19/2024)
RR
Illinois(9/19/2024)
RR
Massachusetts(9/19/2024)
RR
New Jersey(9/19/2024)
RR
New York(9/19/2024)
RR
Texas(9/19/2024)
RR
Virginia(9/19/2024)
RR
Wisconsin(9/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONNING INVESTMENT PRODUCTS, INC.
CONNING | CONNING RESEARCH & CONSULTING, INC. | CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
RIA
Registered Investment Advisory firm - SEC (6/5/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Plaza 755 Main Street, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103-2627
Phone number
(860) 299-2000
Established
Delaware since 02/13/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
8
SEC notice filing (1 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | |
| BRADFORD, LINWOOD EARLE JR | CHAIR BOARD OF DIRECTORS | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | 2638773 |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 517,711,336 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
