Gabriel A. Duran
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.
Gabriel Alan Duran, who also goes by Gabe Duran, was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 1994. Gabriel had worked at 16 firms and has passed the Series 65, Series 63, Series 82TO, Series 57TO, Series 52TO, Series 99TO, Series 72, SIE, Series 79, Series 87, Series 55, Series 7, Series 10, Series 9, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2023 - September 17, 2024
PHILLIP CAPITAL INC.
June 30, 2021 - May 16, 2023
REGAL ADVISORY SERVICES, INC.
August 27, 2020 - May 16, 2023
REGAL SECURITIES, INC.
April 14, 2014 - August 7, 2020
HOVDE GROUP, LLC
February 15, 2012 - January 14, 2013
LIVEVOL SECURITIES, INC.
July 27, 2010 - May 5, 2011
TIBRA TRADING AMERICA LLC
August 26, 2008 - January 22, 2009
CIG SECURITIES
January 16, 2008 - August 8, 2008
MF GLOBAL INC.
July 27, 2004 - October 17, 2006
E*TRADE GLOBAL ASSET MANAGEMENT, INC.
May 30, 2003 - September 30, 2006
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
June 5, 2001 - October 17, 2006
G1 EXECUTION SERVICES, LLC
December 7, 1999 - June 5, 2001
GVR COMPANY
August 18, 1997 - August 19, 1999
VINING-SPARKS IBG, LLC
January 29, 1997 - August 28, 1997
RICE FINANCIAL PRODUCTS COMPANY
June 6, 1995 - January 28, 1997
SPIRES FINANCIAL, L.P.
December 12, 1994 - June 6, 1995
MASTERSON MORELAND SAUER WHISMAN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 4/24/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
PHILLIP CAPITAL INC.
CRD#: 173869 / SEC#: , 8-69558
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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