Gregory Carnivale

HERITAGE FINANCIAL ADVISORY

Jacksonville, FL 32256

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CRD#: 2315686

Professional summary

Gregory Carnivale is a registered financial advisor currently at HERITAGE FINANCIAL ADVISORY, LLC located in Jacksonville, Florida.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Gregory has worked at 8 firms and has passed the Series 65, Series 63, Series 6 and Series 7 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.

Licensed Insurance Professional; same address; 80 hours per month, 80 hours during training.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Carnivale'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

November 3, 2021 - Present

HERITAGE FINANCIAL ADVISORY, LLC

Office #1: 10199 Southside Blvd. Suite 105, Jacksonville, FL 32256

RIA

CRD#: 315898

Jacksonville, FL

Past

August 31, 2017 - January 4, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

JACKSONVILLE, FL

Past

October 24, 2014 - September 27, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

JACKSONVILLE, FL

Past

August 22, 2012 - October 14, 2013

GRADIENT SECURITIES, LLC

CRD#: 127701

JACKSONVILLE, FL

Past

September 9, 2010 - January 28, 2011

OSAIC FA, INC.

CRD#: 3978

OCALA, FL

Past

May 26, 2006 - March 24, 2010

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

OCALA, FL

Past

September 30, 2002 - May 25, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

February 18, 1993 - May 31, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

Highlighted states indicate IAR registrations

IAR

Florida
(11/3/2021)

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: 9/11/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/28/2002

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/16/1993

General Securities Representative Examination

Current Firm

HERITAGE FINANCIAL ADVISORY, LLC

CRD#: 315898 / SEC#:

Florida

Registered Investment Advisory firm - (11/3/2021 Approved)

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Contact information

Main Address

10199 Southside Blvd Suite 105, Jacksonville, FL 32256

Mailing Address

Phone number

(904) 528-7777

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 10,880,000

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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Firm Stability Insights

Gregory Carnivale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Carnivale's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

GRADIENT SECURITIES, LLC

OSAIC FA, INC.

1ST DISCOUNT BROKERAGE, INC.

USALLIANZ SECURITIES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2014

Series 63

Date: 12/5/2010

Series 6

Date: 9/28/2002

Series 7

Date: 2/16/1993

Current Firm

HERITAGE FINANCIAL ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERITAGE FINANCIAL ADVISORY, LLC

TRUST BUT VERIFY

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