Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Giordano is a financial advisor with over 30 years of experience in the industry. He is currently registered with UBS Financial Services Inc. Francis has held previous positions with NatAlliance Securities, LLC, Cantor Fitzgerald & Co., Cantor Fitzgerald Securities, Deutsche Bank Securities Inc., Lehman Brothers Inc., Lehman Government Securities Inc., and Lehman Special Securities Inc. Francis is a licensed broker in over 40 states and has a strong track record of providing personalized financial advice to individuals, families, and businesses. He specializes in a wide range of financial services, including investment management, financial planning, and retirement planning.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
05/18/2023 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NY
05/27/2020 - 09/20/2021
NATALLIANCE SECURITIES, LLC (New York NY)
NY
05/09/2005 - 04/15/2020
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
05/09/2005 - 10/13/2006
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
02/25/2003 - 04/28/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
11/02/1990 - 12/12/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/02/1990 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/02/1990 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BOTH
Issued 11/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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