Robert B. Gaeta

BOREAL CAPITAL SECURITIES LLC

Miami, FL 33131

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CRD#: 1770315

Professional summary

Robert Byron Gaeta, who also goes by Rob Gaeta, is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 7, Series 55, Series 62, Series 27, Series 53, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rob Gaeta

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 Robert Byron Gaeta'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

September 19, 2025 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

July 21, 2016 - September 10, 2025

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

December 17, 2012 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

CRD#: 8509

GENEVA, IL

Past

April 12, 2011 - June 30, 2016

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

JERSEY CITY, NJ

Past

March 2, 2010 - March 28, 2011

STOCKCROSS FINANCIAL SERVICES, INC.

RIA

CRD#: 6670

JERSEY CITY, NJ

Past

April 4, 2008 - March 28, 2011

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

JERSEY CITY, NJ

Past

January 4, 2008 - April 7, 2008

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

LONGWOOD, FL

Past

July 12, 2007 - March 31, 2008

ASD FINANCIAL SERVICES CORP

RIA

CRD#: 124901

MIAMI, FL

Past

May 25, 2007 - March 31, 2008

ASD FINANCIAL SERVICES CORP

CRD#: 124901

MIAMI, FL

Past

December 19, 2006 - May 12, 2008

CATAMOUNT WEALTH MANAGEMENT

RIA

CRD#: 127496

WESTPORT, CT

Past

November 21, 2006 - April 7, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

LONGWOOD, FL

Past

August 28, 2006 - December 13, 2006

BULLTICK SECURITIES, LLC

CRD#: 132092

MIAMI, FL

Past

August 22, 2006 - December 13, 2006

BULLTICK, LLC

CRD#: 104005

MIAMI, FL

Past

April 4, 2006 - August 31, 2006

JESUP & LAMONT ADVISORS

RIA

CRD#: 108006

LONGWOOD, FL

Past

March 9, 2005 - August 31, 2006

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

LONGWOOD, FL

Past

April 25, 2002 - November 19, 2004

GLOBAL PARTNERS SECURITIES INC.

CRD#: 19606

FORT LAUDERDALE, FL

Past

May 2, 2000 - December 15, 2004

EQUITY STATION, INC.

CRD#: 103620

BOCA RATON, FL

Past

May 1, 2000 - October 25, 2002

NORTH AMERICAN INSTITUTIONAL BROKERS

CRD#: 20574

FT. LAUDERDALE, FL

Past

April 21, 1998 - November 16, 1999

CARLIN EQUITIES, LLC

CRD#: 31295

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(9/19/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2003

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 9/9/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 62

Date: 4/20/1998

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 27

Date: 9/21/2018

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/19/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 2/26/2010

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BOREAL CAPITAL SECURITIES LLC

BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES

CRD#: 158599 / SEC#: , 8-68910

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

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Contact information

Main Address

1450 Brickell Avenue, Suite 2900, Miami, FL 33131

Mailing Address

1450 Brickell Avenue, Suite 2900, Miami, FL 33131

Phone number

(305) 459-5400

Established

Delaware since 06/17/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BOREAL CAPITAL HOLDINGS USA, LLC	OWNER / MEMBER
FRANCES, JOAQUIN NMN	CEO	4551274
GAETA, ROBERT BYRON	CHIEF COMPLIANCE OFFICER\AMLCO	1770315
STICE, HAROLD EUGENE	FINOP	1349210

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

Robert B. Gaeta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Byron Gaeta's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

SUNGARD INSTITUTIONAL BROKERAGE INC.

FIS BROKERAGE & SECURITIES SERVICES LLC

STOCKCROSS FINANCIAL SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

JESUP & LAMONT SECURITIES CORP

ASD FINANCIAL SERVICES CORP

ASD FINANCIAL SERVICES CORP

CATAMOUNT WEALTH MANAGEMENT

EMPIRE FINANCIAL GROUP, INC.

BULLTICK SECURITIES, LLC

BULLTICK, LLC

JESUP & LAMONT ADVISORS

EMPIRE FINANCIAL GROUP, INC.

GLOBAL PARTNERS SECURITIES INC.

EQUITY STATION, INC.

NORTH AMERICAN INSTITUTIONAL BROKERS

CARLIN EQUITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2004

Series 63

Date: 7/26/1999

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2003

Series 55

Date: 9/9/2000

Series 62

Date: 4/20/1998

Series 27

Date: 9/21/2018

Series 53

Date: 2/19/2013

Series 14

Date: 2/26/2010

Series 24

Date: 6/23/1998

FINRA

Current Firm

BOREAL CAPITAL SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BOREAL CAPITAL SECURITIES LLC

TRUST BUT VERIFY

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