Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Giordano is a financial advisor currently registered with Citigroup Global Markets Inc. James has been in the financial services industry since 2014. Prior to joining Citigroup Global Markets Inc., James worked at J.P. MORGAN SECURITIES LLC, PRUDENTIAL ANNUITIES DISTRIBUTORS, INC, NYLIFE SECURITIES LLC, SUMMIT EQUITIES, INC., and PRUCO SECURITIES, LLC. James holds the Series 6, 7, 63, and 66 licenses. James is a registered investment advisor in the state of New York. James also works as a driver for Uber.
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.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
NY
09/06/2022 - Present
Citigroup Global Markets Inc. (New York NY)
NY
02/01/2021 - 07/23/2022
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
CT
11/14/2017 - 11/05/2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
NJ
12/23/2016 - 11/03/2017
NYLIFE SECURITIES LLC (SADDLE BROOK NJ)
NJ
01/28/2016 - 11/22/2016
SUMMIT EQUITIES, INC. (PARSIPPANY NJ)
NJ
02/18/2014 - 01/05/2016
PRUCO SECURITIES, LLC. (EAST HANOVER NJ)
BOTH
Issued 08/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/20/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2017
Series 7 - General Securities Representative Examination
BC
Issued 02/18/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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