Gabriel A. Grullon

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CRD#: 2287985

Professional summary

Gabriel Antonio Grullon JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gabriel is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gabriel had worked at 4 firms, which includes FLAGSTAR ADVISORS, HSBC BROKERAGE (USA) INC., REPUBLIC FINANCIAL SERVICES CORPORATION, CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Gabe Grullon | Gabriel Anthony Grullon Jr | Gabriel Antonio Grullov

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

May 2, 2001 - January 3, 2002

FLAGSTAR ADVISORS

CRD#: 104233

NEW YORK, NY

Past

June 19, 2000 - April 11, 2001

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

December 23, 1998 - June 19, 2000

REPUBLIC FINANCIAL SERVICES CORPORATION

CRD#: 38293

NEW YORK, NY

Past

October 3, 1994 - January 11, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

FLAGSTAR ADVISORS

CRD#: 104233 / SEC#: 801-67767, 8-52697

RIA

Registered Investment Advisory firm - SEC (5/10/2007 Approved)

Florida

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/1994

General Securities Representative Examination

Current Firm

FLAGSTAR ADVISORS

CRD#: 104233 / SEC#: 801-67767, 8-52697

RIA

Registered Investment Advisory firm - SEC (5/10/2007 Approved)

Florida

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1400 Broadway 16th Floor 16th Floor, New York, NY, 10018

Mailing Address

1400 Broadway 16th Floor, New York, NY, 10018

Phone number

(646) 822-1475

Established

New York since 05/26/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FLAGSTAR ADVISORS, INC. PART 2A BROCHURE (2/28/2025)

Direct owners and executive officers

Name	Position	CRD#
FLAGSTAR BANK, N.A.	SHAREHOLDER
FEIT, ADAM BRIAN	HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR	3261251
GERAGHTY, DOUGLAS P	CHIEF COMPLIANCE OFFICER, DIRECTOR	6106821
MCGLYNN, BRIAN JOSEPH	COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER	4463942
PAWANI, SHWETA PRABHUDAS	FINOP/CHIEF FINANCIAL OFFICER	4934669
PERRY, PHILIP VINCENT	CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL	2120399
PITTSEY, MARK ANDREW	HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR	2226562
RAFFETTO, RICHARD ALEXANDER	PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR	3161430
STERN, SETH WILLIAM	SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR	7987857

Regulatory assets under management

Total Number of Accounts	1,571
AUM (Assets Under Management)	$ 1,155,077,972

Disclosures

Arbitration

Red Flags

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Gabriel A. Grullon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HSBC BROKERAGE (USA) INC.

REPUBLIC FINANCIAL SERVICES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

FLAGSTAR ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/1997

Series 63

Date: 10/14/1994

Series 7

Date: 10/1/1994

Current Firm

FLAGSTAR ADVISORS

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FLAGSTAR ADVISORS

TRUST BUT VERIFY

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