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Detailed Report
JAMES MICHAEL GIORDANO
JAMES M GIORDANO, JIM GIORDANO
CRD#: 3021006
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - Present (22 years)BTRANSAMERICA SECURITIES SALES ... (CRD# 17970)2001 - 2002 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2001 (2 years)
License(s)

State Registrations

B
Arizona 8/23/2002
B
Nevada 1/30/2003
B
California 8/15/2002
IA
Nevada 6/15/2023
IA
California 8/15/2002
B
New Jersey 2/20/2018
B
Colorado 8/23/2002
B
New Mexico 5/2/2013
B
Connecticut 6/1/2023
B
New York 8/23/2002
B
District of Columbia 6/8/2010
B
North Carolina 8/23/2002
B
Florida 8/23/2002
B
Oklahoma 1/20/2023
IA
Hawaii 6/9/2023
B
Oregon 8/23/2002
B
Idaho 8/16/2018
B
Pennsylvania 10/21/2022
B
Illinois 4/26/2022
B
South Dakota 10/22/2021
B
Iowa 1/25/2023
B
Texas 8/23/2002
B
Kentucky 2/20/2018
IA
Texas 9/23/2002
B
Maryland 6/26/2015
B
Utah 11/11/2003
B
Massachusetts 8/8/2017
B
Virginia 9/21/2016
B
Michigan 11/18/2003
B
Washington 8/23/2002
B
Minnesota 1/29/2014
IA
Washington 6/9/2023
B
Missouri 8/8/2017
B
Wyoming 7/31/2014
B
Nebraska 3/3/2025

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Cerritos, CA
Registered with this firm since 8/15/2002
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Cerritos, CA
Registered with this firm since 8/15/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/27/2001 - 07/23/2002 TRANSAMERICA SECURITIES SALES CORPORATION (CRD#:17970) LOS ANGELES, CA
B
 03/10/1998 - 01/04/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.