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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

MICHAEL GIORDANO

Advisor at CHARLES SCHWAB & CO., INC.

Red Bank, NJ

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Search this name across graphsid dfx:ria:a4dd016b-900a-d50f-e2d0-9728e5e73ba6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 30, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 18, 2012
First registration: May 30, 2012
Dual registered: yes, broker-dealer
Other names: Mike Giordano
IAPD individual key: 5352775

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 31, 2021	n/a	yes	Red Bank, NJ	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 4, 2020	Feb 25, 2021	no	Hauppauge, NY	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Feb 7, 2020	Nov 25, 2020	no	SHREWSBURY, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 18, 2018	Feb 10, 2020	no	FREEHOLD, NJ	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	May 30, 2012	Feb 4, 2018	no	SHREWSBURY, NJ\|MANALAPAN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	CHARLES SCHWAB & CO., INC.	Feb 25, 2021	Mar 31, 2021	34	Firm change	Ibd to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 25, 2020	Nov 4, 2020	-21	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Feb 10, 2020	Feb 7, 2020	-3	Firm change	Wirehouse to ibd
STRATEGIC ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 4, 2018	Jan 18, 2018	-17	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 31, 2021 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 4, 2020 to Feb 25, 2021factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Feb 7, 2020 to Nov 25, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 18, 2018 to Feb 10, 2020factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
May 30, 2012 to Feb 4, 2018factForm ADV

Dated events

No dated event names this entity yet.