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GD

Gustavo G. Dolfino

Some features on this profile are disabled
CRD#: 2565725
GD

Professional summary

Gustavo Gabriel Dolfino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gustavo is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Gustavo had worked at 10 firms, which includes SILVER LEAF PARTNERS LLC, JHS CAPITAL ADVISORS LLC, STERLING FINANCIAL INVESTMENT GROUP INC., UBS INTERNATIONAL INC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., BDS SECURITIES LLC, CHATFIELD DEAN & CO. INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
No

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.
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

March 12, 2014 - February 20, 2024

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

October 7, 2005 - November 3, 2005

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

April 14, 2004 - May 13, 2004

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

January 15, 2003 - March 25, 2004

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

June 3, 2002 - June 19, 2002

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
NEW YORK, NY
Past

June 3, 2002 - June 19, 2002

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

November 6, 2001 - June 1, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

September 5, 2001 - June 3, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 4, 2000 - August 30, 2001

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

February 16, 1999 - May 7, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 11, 1997 - December 18, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 15, 1996 - February 11, 1997

BDS SECURITIES LLC

BD
CRD#: 21751
NEW YORK, NY
Past

October 27, 1995 - February 5, 1996

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

March 17, 1995 - October 24, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 11, 1995 - February 13, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/14/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/10/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/18/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 3/2/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 1/26/1995
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/17/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/16/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/10/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2001
General Securities Principal Examination

Current Firm

SL
SILVER LEAF PARTNERS, LLC
SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

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

Main Address
3 Columbus Circle Floor 15, New York, NY 10019
Mailing Address
3 Columbus Circle Floor 15, New York, NY 10019
Phone number
(212) 632-8421
Established
New York since 01/15/2003
Firm type
Limited Liability Company
Fiscal year end
December
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

Direct owners and executive officers

NamePositionCRD#
KHAN, M. FYZULCEO/CCO/MANAGING MEMBER3103833
LESHER, JAMES ELAMPOO1044046
TAO, BING QINFINOP/PFO6253793

Disclosures

Regulatory Event1

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

SILVER LEAF PARTNERS, LLC

CRD#: 126694

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