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 has been in the financial industry since 1997. Lee is a Registered Representative with UBS Financial Services Inc., where Lee has worked since October 2016. Previously, Lee worked for Penserra Securities LLC from August 2016 to November 2016, and CRT Capital Group LLC from February 2014 to June 2016. Lee is a Chartered Financial Analyst (CFA) and has passed the Series 7, Series 24, Series 63, and Series 65 exams. Lee is also registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Lee is a licensed realtor and provides referrals through Weichert Referral Associates. Lee also serves as a member of the Republican County Committee.
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 6/16/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/27/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 7/30/1997
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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