Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Giordano is a financial advisor with UBS Financial Services Inc., specializing in providing financial advice to a wide range of clients, including individuals, high-net-worth individuals, businesses, pension plans, corporations, insurance companies, and charitable organizations. Lee Giordano has been in the industry since 1997 and holds a variety of licenses and registrations, including Series 7, 24, 63, 65, and 87. Lee Giordano has experience working with a number of firms, including Penserra Securities, LLC, CRT Capital Group LLC, and Imperial Capital, LLC. Lee Giordano is also a Chartered Financial Analyst.
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
11/09/2016 - Present
UBS Financial Services Inc. (Weehawken NJ)
NY
08/22/2016 - 11/01/2016
PENSERRA SECURITIES, LLC (NEW YORK NY)
CT
02/24/2014 - 06/30/2016
CRT CAPITAL GROUP LLC (STAMFORD CT)
NY
05/27/2009 - 02/21/2014
IMPERIAL CAPITAL, LLC (NEW YORK NY)
NY
06/07/2005 - 04/29/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/28/2004 - 05/12/2005
INDEPENDENT RESEARCH GROUP LLC (NEW YORK NY)
NY
07/31/1997 - 05/24/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/16/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/30/1997
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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