James R. Giordano
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 Richard Giordano, who also goes by Jim Giordano, Jimmy Giordano, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2014 - July 2, 2016
BONWICK CAPITAL PARTNERS, LLC
March 20, 2001 - October 19, 2012
NEWOAK CAPITAL MARKETS LLC
September 12, 2000 - October 19, 2012
NEWOAK CAPITAL MARKETS LLC
March 2, 2000 - September 15, 2000
PECONIC SECURITIES LLC
October 7, 1999 - November 15, 1999
BREAN MURRAY & CO., INC.
May 13, 1992 - January 4, 1999
BAKER NYE SECURITIES, L.P.
November 14, 1988 - February 25, 1991
NATIXIS SECURITIES AMERICAS LLC
January 21, 1988 - May 31, 1988
MLP TRADING CO LLC
October 21, 1985 - March 23, 1987
JAMIE SECURITIES CO.
April 25, 1985 - March 14, 1989
KAUFMANN, ALSBERG & CO., INC.
June 29, 1984 - February 6, 1985
GREENFIELD PARTNERS
September 4, 1979 - September 25, 1989
LEHMAN BROTHERS INC.
May 1, 1979 - August 6, 1979
LOEB PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
BONWICK CAPITAL PARTNERS, LLC
CRD#: 156469 / SEC#: , 8-68796
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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