Vito S. Giannini
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.
Vito Stephen Giannini was a registered financial professional .
Vito is a previously registered financial professional and started their career in finance in 1979. Vito had worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - February 25, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 18, 2011 - September 25, 2019
POWELL'S FINANCIAL PLANNING SERVICE
October 28, 2011 - February 25, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
October 5, 2005 - November 4, 2011
WOODBURY FINANCIAL SERVICES, INC.
August 1, 2003 - October 10, 2005
WALNUT STREET SECURITIES, INC.
January 27, 1986 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 16, 1984 - December 10, 1985
LEGEND CAPITAL CORPORATION
October 22, 1979 - September 19, 1983
LEGEND CAPITAL CORPORATION
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/11/1979
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
