Gilbert A. Cardillo

PECONIC ASSET PLANNING

Riverhead, NY 11901

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CRD#: 1110960

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

(1) PECONIC ASSET PLANNING INC. - DBA. POSITION: Employee. INVESTMENT RELATED: Yes. NUMBER OF HOURS: 172 SECURITIES TRADING HOURS: 172 START DATE: 04/01/2002. ADDRESS: 53 Lake Ave, Riverhead NY 11901, United States. DESCRIPTION: DBA used for marketing purposes. (2) GILBERT A CARDILLO POSITION: Agent/Representative NATURE: Insurance outside of IFG. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0. START DATE: 10/01/2020. ADDRESS: 53 Lake Ave, Riverhead NY 11901, United States. DESCRIPTION: NY Insurance Agent. (3) SUFFOLK COUNTY PARKS TRUSTEE. POSITION: Volunteer. NATURE: Board Member or Officer (Profit or Non-Profit). Not INVESTMENT RELATED. NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 3 START DATE: 09/01/2005. ADDRESS: PO BOX 144, West Sayville NY 11796, United States. DESCRIPTION: Evaluate land purchases and advise on the feasibility of said purchases for appropriate parkland potential. (4) PECONIC ASSET PLANNING INC. - RIA. POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR. INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 40 START DATE: 10/01/2020. ADDRESS: 53 Lake Ave, Riverhead NY 11901, United States. DESCRIPTION: 100% owner of state-registered investment advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gilbert Alan Cardillo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 3, 2020 - Present

PECONIC ASSET PLANNING

Office #1: 53 Lake Avenue, Riverhead, NY 11901

RIA

CRD#: 310121

Riverhead, NY

Current

October 29, 2020 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 53 Lake Ave, Riverhead, NY 11901

RIA

CRD#: 7717

Riverhead, NY

Past

July 17, 2020 - November 16, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

RIVERHEAD, NY

Past

April 29, 2002 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

RIVERHEAD, NY

Past

April 11, 2002 - May 8, 2002

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 7, 2000 - March 25, 2002

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 19, 1997 - August 7, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

July 12, 1993 - November 14, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

September 21, 1992 - July 23, 1993

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

March 17, 1992 - August 24, 1992

STEIN ABBOTT AND COMPANY INC.

CRD#: 23697

YONKERS, NY

Past

March 28, 1990 - August 9, 1990

MONARCH SECURITIES, INC.

CRD#: 2809

Past

July 8, 1988 - April 2, 1990

INVESTACORP, INC.

CRD#: 7684

Past

February 26, 1987 - July 1, 1988

PORTFOLIO EDGE SECURITIES, INC.

CRD#: 18494

Past

June 6, 1986 - April 2, 1990

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

September 11, 1985 - June 17, 1986

F.M. STEVENS SECURITIES CORP.

CRD#: 13204

Past

May 14, 1985 - October 14, 1985

SHELTER ROCK SECURITIES CORP.

CRD#: 11043

Past

November 3, 1983 - April 29, 1985

NORBAY SECURITIES INC.

CRD#: 5431

Past

March 22, 1983 - November 1, 1983

SUTTON PLACE SECURITIES, INC.

CRD#: 10031

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PECONIC ASSET PLANNING

PECONIC ASSET PLANNING | PECONIC ASSET PLANNING, INC.

CRD#: 310121 / SEC#: 801-123475

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

New York

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/29/2020)

Colorado
(10/29/2020)

Connecticut
(10/30/2020)

Delaware
(12/18/2020)

Florida
(10/30/2020)

Maine
(10/29/2020)

Maryland
(10/29/2020)

Massachusetts
(12/2/2020)

New Jersey
(10/29/2020)

New York
(10/29/2020)

IAR

New York
(11/23/2021)

North Carolina
(10/30/2020)

Pennsylvania
(10/29/2020)

IAR

Texas
(11/3/2020)

Virginia
(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

State Security Law Exam

IAR

Series 65

Date: 11/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PECONIC ASSET PLANNING

PECONIC ASSET PLANNING | PECONIC ASSET PLANNING, INC.

CRD#: 310121 / SEC#: 801-123475

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

New York

Registered Investment Advisory firm - (4/12/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2022 Terminated)

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Contact information

Main Address

53 Lake Avenue, Riverhead, NY 11901

Mailing Address

Phone number

(631) 369-8877

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PECONIC ASSET PLANNING DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (1/20/2025)

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 47,871,494

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Gilbert A. Cardillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gilbert Alan Cardillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

SECURITIES AMERICA, INC.

INVESTACORP, INC.

OSAIC WEALTH, INC.

QUICK & REILLY, INC.

FLEET ENTERPRISES, INC.

FIS SECURITIES, INC.

FLEET ENTERPRISES, INC.

STEIN ABBOTT AND COMPANY INC.

MONARCH SECURITIES, INC.

INVESTACORP, INC.

PORTFOLIO EDGE SECURITIES, INC.

INVESTACORP, INC.

F.M. STEVENS SECURITIES CORP.

SHELTER ROCK SECURITIES CORP.

NORBAY SECURITIES INC.

SUTTON PLACE SECURITIES, INC.

Primary Firm SEC Registration

PECONIC ASSET PLANNING

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2021

Series 63

Date: 11/29/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 26

Date: 1/2/2023

Series 24

Date: 10/16/1985

FINRA

Current Firm

PECONIC ASSET PLANNING

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PECONIC ASSET PLANNING

TRUST BUT VERIFY

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