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GL

George M. Locarno

Some features on this profile are disabled
CRD#: 1796279
GL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

George Mcgary Locarno, who also goes by Gary Locarno, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1989. George had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary Locarno

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 7, 2019 - December 31, 2025

DAKOTA WEALTH, LLC

RIA
CRD#: 297987
BOSTON, MA
Past

November 9, 2007 - January 5, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 29, 2006 - January 5, 2015

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
BOSTON, MA
Past

September 2, 2004 - February 4, 2009

GML ASSOCIATES, P.C.

RIA
CRD#: 117370
BOSTON, MA
Past

May 22, 1989 - September 27, 2002

FFMC SECURITIES, INC.

BD
CRD#: 7658
BOSTON, MA

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".
DW
DAKOTA WEALTH, LLC
DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA
Registered Investment Advisory firm - (10/8/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/12/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/19/1989
Direct Participation Programs Representative Examination

Current Firm

DW
DAKOTA WEALTH, LLC
DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA
Registered Investment Advisory firm - (10/8/2018 Approved)
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Contact information

Main Address
11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752
Mailing Address
Phone number
(561) 774-8101
Established
Firm type
Fiscal year end
# of Employees
78

SEC notice filing (37 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DAKOTA WEALTH FORM ADV PART 2A (10/15/2025)

Regulatory assets under management

Total Number of Accounts9,786
AUM (Assets Under Management)$ 6,335,261,507

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/10/2025
Cover Page
Report
09/13/2024
Cover Page
Report
11/21/2023
Cover Page
Report
01/18/2023
Cover Page
Report

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

DAKOTA WEALTH, LLC

CRD#: 297987

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