Gilbert Alan Cardillo
Professional Summary
Gilbert Alan Cardillo is a registered financial advisor currently at PECONIC ASSET PLANNING located in Riverhead, New York and INDEPENDENT FINANCIAL GROUP, LLC located in Riverhead, New York. Gilbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gilbert has worked at 15 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 26 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
PECONIC ASSET PLANNING | PECONIC ASSET PLANNING, INC.
Contact Information
Main Address
53 Lake Avenue, Riverhead, NY 11901Phone Number
(631) 369-8877# of Employees
2SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
206AUM (Assets Under Management)
$64,590,865Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
PECONIC ASSET PLANNING | PECONIC ASSET PLANNING, INC.
State Registrations and Notice Filings
(10/29/2020)
(10/29/2020)
(10/30/2020)
(12/18/2020)
(10/30/2020)
(10/29/2020)
(10/29/2020)
(12/2/2020)
(10/29/2020)
(10/29/2020)
(11/23/2021)
(10/30/2020)
(10/29/2020)
(11/3/2020)
(8/4/2026)
(10/29/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Gilbert Alan Cardillo's CRS (Customer Relationship Summary).
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