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Detailed Report
ALI M GIRARDI
ALI MARIE GIRARDI, ALI MARIE MECELI
CRD#: 2998057
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 285 Riverside Avenue
Suite 335
Westport, CT 06880
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2009 (11 years)2 FIRMS2009 - 2024 (15 years)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
11/4/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/28/2024
B
Missouri 10/28/2024
B
California 10/29/2024
B
New Hampshire 10/28/2024
B
Colorado 10/28/2024
B
New Jersey 10/28/2024
B
Connecticut 10/28/2024
B
New York 10/28/2024
IA
Connecticut 10/28/2024
B
North Carolina 10/28/2024
B
Delaware 10/28/2024
B
Ohio 10/28/2024
B
District of Columbia 10/28/2024
B
Pennsylvania 10/28/2024
B
Florida 10/28/2024
B
Rhode Island 11/12/2024
B
Georgia 10/28/2024
B
South Carolina 10/28/2024
B
Illinois 10/28/2024
B
Texas 10/28/2024
B
Kentucky 10/28/2024
IA
Texas 10/28/2024
B
Maine 10/28/2024
B
Vermont 10/28/2024
B
Maryland 10/28/2024
B
Virginia 10/28/2024
B
Massachusetts 10/28/2024
B
West Virginia 10/28/2024
B
Michigan 10/28/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
285 Riverside Avenue Suite 335, Westport, CT 06880
Easton, CT
Registered with this firm since 10/28/2024
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
285 Riverside Avenue Suite 335, Westport, CT 06880
Easton, CT
Registered with this firm since 10/28/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 11/11/2024 MORGAN STANLEY (CRD#:149777) Greenwich, CT
B
 06/01/2009 - 11/11/2024 MORGAN STANLEY (CRD#:149777) Greenwich, CT
IA
 05/28/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENWICH, CT
B
 03/05/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENWICH, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.