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GD

Gabriel A. Duran

AVANT-GARDE TRADING SECURITIES
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2564534
GD

Professional summary

Gabriel Alan Duran, who also goes by Gabe Duran, is a registered financial professional currently at AVANT-GARDE TRADING SECURITIES located in Chicago, Illinois.

Gabriel is registered as a RR (Registered Representative) and started their career in finance in 1994. Gabriel has worked at 17 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, 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

Are you a "fiduciary"?
No

Aliases

Gabe Duran

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) - BD

Click below to view Gabriel Alan Duran's CRS (Customer Relationship Summary).
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

May 12, 2026 - Present

AVANT-GARDE TRADING SECURITIES

Office #1: 30 S. Wacker Dr Suite 2840, Chicago, IL 60606
BD
CRD#: 292119
CHICAGO, IL
Past

April 24, 2023 - September 17, 2024

PHILLIP CAPITAL INC.

BD
CRD#: 173869
CHICAGO, IL
Past

June 30, 2021 - May 16, 2023

REGAL ADVISORY SERVICES, INC.

RIA
CRD#: 123842
GLENVIEW, IL
Past

August 27, 2020 - May 16, 2023

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

April 14, 2014 - August 7, 2020

HOVDE GROUP, LLC

BD
CRD#: 25425
CHICAGO, IL
Past

February 15, 2012 - January 14, 2013

LIVEVOL SECURITIES, INC.

BD
CRD#: 23670
CHICAGO, IL
Past

July 27, 2010 - May 5, 2011

TIBRA TRADING AMERICA LLC

BD
CRD#: 151529
CHICAGO, IL
Past

August 26, 2008 - January 22, 2009

CIG SECURITIES

BD
CRD#: 129864
SOUTHFIELD, MI
Past

January 16, 2008 - August 8, 2008

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL
Past

July 27, 2004 - October 17, 2006

E*TRADE GLOBAL ASSET MANAGEMENT, INC.

BD
CRD#: 42890
ARLINGTON, VA
Past

May 30, 2003 - September 30, 2006

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

BD
CRD#: 1625
CHICAGO, IL
Past

June 5, 2001 - October 17, 2006

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
CHICAGO, IL
Past

December 7, 1999 - June 5, 2001

GVR COMPANY

BD
CRD#: 31172
CHICAGO, IL
Past

August 18, 1997 - August 19, 1999

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN
Past

January 29, 1997 - August 28, 1997

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
NASHVILLE, TN
Past

June 6, 1995 - January 28, 1997

SPIRES FINANCIAL, L.P.

BD
CRD#: 38209
HOUSTON, TX
Past

December 12, 1994 - June 6, 1995

MASTERSON MORELAND SAUER WHISMAN, INC.

BD
CRD#: 16815

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(5/12/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/13/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 5/12/2026
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/12/2026
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/24/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/8/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 6/16/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/9/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/4/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/8/1995
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/4/1995
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AT
AVANT-GARDE TRADING SECURITIES
AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC

CRD#: 292119 / SEC#: , 8-70068

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606
Mailing Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606
Phone number
(312) 858-5748
Established
Illinois since 11/23/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PROSPERUM FINANCIAL HOLDINGS, LLCOWNER
ALBINO, MICHAEL JOSEPHCCO864412
ARORA, VRINDAFINOP7784034
GOMPERT, DAVID JOHNCEO1824567

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

AVANT-GARDE TRADING SECURITIES

CRD#: 292119Chicago, IL 60606

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