DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Joseph Andrew Giardano
Feed of 09/14/2026
Also filed as Joe Giardano
At current firm
2 y
since Sep 21, 2023
In the industry
16 y
since Nov 10, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Sep 21, 2023 · Dallas, Tx
- Hilltop Securities Inc. BD affiliatedSep 1, 2023 to Oct 12, 2023 · Dallas, Tx
- Girard Securities, Inc. formerJun 24, 2014 to Jun 26, 2014 · Irving, Tx
- United Capital Financial Advisors independent RIAJun 4, 2014 to Oct 13, 2023 · Irving, Tx
- Wells Fargo Advisors wirehouseNov 12, 2012 to Jun 4, 2014 · Dallas, Tx
- Institutional Securities Corporation formerOct 5, 2012 to Nov 6, 2012 · Dallas, Tx
- MML Investors Services, LLC BD affiliatedNov 23, 2009 to Oct 9, 2012 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- United Capital Financial Advisors to Girard Securities, Inc.left Oct 13, 2023, registered Jun 24, 2014 (-3398 days) · Other · moved with a team
- Hilltop Securities Inc. to Prospera Financial Services, Inc.left Oct 12, 2023, registered Sep 21, 2023 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Girard Securities, Inc. to Hilltop Securities Inc.left Jun 26, 2014, registered Sep 1, 2023 (3354 days) · Other
- Wells Fargo Advisors to United Capital Financial Advisorsleft Jun 4, 2014, registered Jun 4, 2014 (0 days) · Other
- Institutional Securities Corporation to Wells Fargo Advisorsleft Nov 6, 2012, registered Nov 12, 2012 (6 days) · Other
- MML Investors Services, LLC to Institutional Securities Corporationleft Oct 9, 2012, registered Oct 5, 2012 (-4 days) · Other
Signals
- Joseph Andrew Giardano left United Capital Financial Advisors for Girard Securities, Inc. (registered 2014-06-24)Oct 13, 2023 · Advisor changed firm · fact
- Joseph Andrew Giardano left Hilltop Securities Inc. for Prospera Financial Services, Inc. (registered 2023-09-21)Oct 12, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address