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JG

James R. Giordano

Some features on this profile are disabled
CRD#: 865336
JG

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

Are you a "fiduciary"?
No

Aliases

Jim Giordano | Jimmy 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)

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

November 18, 2014 - July 2, 2016

BONWICK CAPITAL PARTNERS, LLC

BD
CRD#: 156469
NEW YORK, NY
Past

March 20, 2001 - October 19, 2012

NEWOAK CAPITAL MARKETS LLC

RIA
CRD#: 104063
NEW YORK, NY
Past

September 12, 2000 - October 19, 2012

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

March 2, 2000 - September 15, 2000

PECONIC SECURITIES LLC

BD
CRD#: 46781
NEW YORK, NY
Past

October 7, 1999 - November 15, 1999

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

May 13, 1992 - January 4, 1999

BAKER NYE SECURITIES, L.P.

BD
CRD#: 29007
Past

November 14, 1988 - February 25, 1991

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

January 21, 1988 - May 31, 1988

MLP TRADING CO LLC

BD
CRD#: 18427
Past

October 21, 1985 - March 23, 1987

JAMIE SECURITIES CO.

BD
CRD#: 16653
Past

April 25, 1985 - March 14, 1989

KAUFMANN, ALSBERG & CO., INC.

BD
CRD#: 2404
Past

June 29, 1984 - February 6, 1985

GREENFIELD PARTNERS

BD
CRD#: 10637
Past

September 4, 1979 - September 25, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 1, 1979 - August 6, 1979

LOEB PARTNERS

BD
CRD#: 7534

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
IAR
Series 65
Date: 3/7/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/8/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/21/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/12/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/17/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/1992
General Securities Principal Examination

Current Firm

BC
BONWICK CAPITAL PARTNERS, LLC
BONWICK CAPITAL PARTNERS, LLC

CRD#: 156469 / SEC#: , 8-68796

BD
Terminated by SEC on 02/11/2017
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WICKER, DEVIN LAMARRCEO/CFO, MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, AMLCO4228250
WICKER, DEVIN LAMARRROSFP4228250
WICKER, DEVIN LAMARRFINOP4228250
VALOR GROUP LTD.MEMBER
SILVERY FORTUNE HOLDINGS LIMITEDMEMBER
BEDROCK CAPITAL GROUP, LLCMEMBER

Disclosures

Regulatory Event4

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

BONWICK CAPITAL PARTNERS, LLC

CRD#: 156469

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