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Charles Francis Giordano

Thinkequity LLC

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About Charles Francis Giordano

Charles Giordano is a financial professional with over 30 years of experience in the securities industry. Charles is currently registered with Thinkequity LLC in New York. Charles has a broad range of experience in the industry and holds multiple licenses including Series 7, 24, 63, 79, and 99. Previous employers include Lew Lieberbaum & Co., Inc., Berkeley Securities Corporation, and Commonwealth Associates. Charles is registered to provide investment advice in all 50 states and the District of Columbia.

Firm Information

Charles Giordano is currently registered with Thinkequity LLC. Thinkequity LLC is a Limited Liability Company formed on August 13, 2021. The firm is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Thinkequity LLC has been the subject of 8 Regulatory Events, 3 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

46

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Charles Giordano’s Registration & Firm History

NY

03/27/1997 - Present

Thinkequity LLC (NEW YORK NY)

NY

01/17/1995 - 03/18/1997

LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)

NY

10/09/1992 - 01/30/1995

BERKELEY SECURITIES CORPORATION (NEW YORK NY)

NY

05/02/1991 - 11/11/1992

COMMONWEALTH ASSOCIATES (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/27/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/1993

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Charles Francis Giordano. Review regulatory record here.
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