Ronan C. Gaudario

LUNA CAPITAL MANAGEMENT

Burlingame, CA 94010

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CRD#: 2494459

Professional summary

Ronan C Gaudario, who also goes by Ronan Calceta Gaudario, Ronan Calleta Gaudario, is a registered financial advisor currently at LUNA CAPITAL MANAGEMENT, LLC located in Burlingame, California.

Ronan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Ronan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronan Calceta Gaudario | Ronan Calleta Gaudario

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.

1)INDEPENDENT INSURANCE AGENT,YES,1799 BAYSHORE HWY STE 128A, BURLINGAME, CA 94010,FIXED INSURANCE SALES,INDEPENDENT INSURANCE AGENT,04/26/2011,180,180,SALES OF FIXED INSURANCE PRODUCTS 2) LICENSED REAL ESTATE AGENT; NOT INVESTMENT-RELATED; BURLINGAME, CA; REAL ESTATE SALES; 1/2017; APPROXIMATELY 10 HRS/MO OUTSIDE TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronan C Gaudario'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

June 11, 2020 - Present

LUNA CAPITAL MANAGEMENT, LLC

Office #1: 1799 Bayshore Highway Suite 128a, Burlingame, CA 94010

RIA

CRD#: 307687

Burlingame, CA

Past

May 4, 2017 - August 29, 2020

LUNA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 281388

BURLINGAME, CA

Past

August 19, 2009 - April 24, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BURLINGAME, CA

Past

August 11, 2009 - April 24, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BURLINGAME, CA

Past

December 19, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN MATEO, CA

Past

December 18, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN MATEO, CA

Past

January 23, 2008 - August 1, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OAKLAND, CA

Past

January 22, 2008 - August 1, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OAKLAND, CA

Past

April 22, 2005 - December 20, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SAN FRANCISCO, CA

Past

April 21, 2005 - December 20, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

September 20, 2002 - March 22, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 14, 2002 - March 22, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 30, 1996 - November 7, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

March 6, 1995 - September 14, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 24, 1994 - August 4, 1994

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

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

California
(6/11/2020)

IAR

Texas
(6/30/2020)

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: 11/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/7/2006

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LUNA CAPITAL MANAGEMENT, LLC

CRD#: 307687 / SEC#:

California

Registered Investment Advisory firm - (6/11/2020 Approved)

Texas

Registered Investment Advisory firm - (6/30/2020 Conditional Restricted)

Washington

Registered Investment Advisory firm - (1/17/2023 Terminated)

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).

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Contact information

Main Address

1799 Bayshore Highway Suite 128a, Burlingame, CA 94010

Mailing Address

Phone number

(415) 513-5257

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	220
AUM (Assets Under Management)	$ 52,488,287

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

Ronan C. Gaudario

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronan C Gaudario's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUNA CAPITAL MANAGEMENT, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SUTRO & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

REYNOLDS KENDRICK STRATTON, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/2000

Series 63

Date: 4/25/1995

SIE

Date: 4/24/2017

Series 7

Date: 6/23/1994

Series 26

Date: 11/7/2006

Current Firm

LUNA CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LUNA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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