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GT

Gregory R. Traina

ENCLAVE CAPITAL LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1589309
GT

Professional summary

Gregory Rizzo Traina is a registered financial professional currently at ENCLAVE CAPITAL LLC located in Boca Raton, Florida.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1986. Gregory has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Rizzo Traina's 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

September 4, 2024 - Present

ENCLAVE CAPITAL LLC

Office #1: 301 Yamato Road Suite 2198, Boca Raton, FL 33431
BD
CRD#: 22732
Boca Raton, FL
Past

August 4, 2021 - September 3, 2024

SAN BLAS SECURITIES LLC

BD
CRD#: 290605
CHICAGO, IL
Past

April 30, 2018 - August 9, 2021

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
NEW YORK, NY
Past

October 25, 2011 - April 30, 2018

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

July 13, 2009 - November 11, 2011

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

February 28, 2003 - August 13, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY
Past

March 8, 2002 - October 11, 2002

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

October 24, 2000 - March 11, 2003

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

April 29, 1999 - October 26, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

September 28, 1998 - January 4, 1999

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

November 27, 1990 - September 22, 1998

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

November 18, 1986 - November 24, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

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

RR
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

RR
Florida
(9/5/2024)
RR
New Jersey
(9/5/2024)
RR
New York
(9/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/13/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/4/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/25/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/1987
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ENCLAVE CAPITAL LLC
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.

CRD#: 22732 / SEC#: , 8-39592

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Mailing Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Phone number
(646) 454-8600
Established
Delaware since 05/31/1995
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZEO, ROBERT LOUIS IIMANAGING MEMBER/CEO2460221
DUMONT, SUSAN ELIZABETHCCO2346501
VITTOR, GREG TODDFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER1864219

Disclosures

Regulatory Event3

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.

Company Information

ENCLAVE CAPITAL LLC

CRD#: 22732Boca Raton, FL 33431

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