Individual Firm
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MICHAEL GIORDANO
Mike Giordano
CRD#: 5352775
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 55 Broad St
Red Bank, NJ 07701
Red Bank, NJ 07701
View By:
11/22/2024
Customer Dispute
Pending
State Registrations
B
Arizona 9/25/2024
IA
New Jersey 3/31/2021
B
Colorado 7/27/2021
B
New York 3/30/2021
B
Delaware 3/30/2021
B
North Carolina 4/6/2021
B
Florida 3/30/2021
B
Oregon 7/15/2022
B
Georgia 3/2/2022
B
Pennsylvania 3/30/2021
B
Illinois 7/22/2024
B
Tennessee 3/27/2024
B
Massachusetts 3/2/2022
B
Texas 10/4/2023
B
New Jersey 3/30/2021
B
Washington 4/15/2021
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 3/31/2021
B
Registered with this firm since 3/30/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2020 - 02/25/2021 | Hauppauge, NY | |
B | 11/03/2020 - 02/25/2021 | Hauppauge, NY | |
IA | 02/07/2020 - 11/25/2020 | SHREWSBURY, NJ | |
B | 02/07/2020 - 11/25/2020 | SHREWSBURY, NJ | |
IA | 01/18/2018 - 02/10/2020 | FREEHOLD, NJ | |
B | 01/12/2018 - 02/10/2020 | FREEHOLD, NJ | |
IA | 05/30/2012 - 02/04/2018 | MANALAPAN, NJ | |
B | 03/14/2012 - 01/22/2018 | MANALAPAN, NJ | |
B | 12/24/2010 - 03/07/2012 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.