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RG

Robert A. Gaida

KPMG CORPORATE FINANCE LLC
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2773586
RG

Professional summary

Robert Alan Gaida JR, who also goes by Rob Gaida Jr, Robert Alan Gaida, is a registered financial professional currently at KPMG CORPORATE FINANCE LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Gaida Jr | Robert Alan Gaida

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 Robert Alan Gaida JR'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

July 22, 2022 - Present

KPMG CORPORATE FINANCE LLC

Office #1: Two Manhattan West 375 9th Avenue 13th Floor, New York, NY 10001
BD
CRD#: 103973
NEW YORK, NY
Past

March 9, 2007 - July 6, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

March 15, 2005 - July 26, 2007

RYAN BECK & CO.

BD
CRD#: 3248
NEW YORK, NY
Past

August 12, 1999 - April 4, 2002

HEARTLAND SECURITIES CORP.

BD
CRD#: 43201
EDISON, NJ

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
Arizona
(7/22/2022)
RR
Arkansas
(7/22/2022)
RR
California
(7/22/2022)
RR
Colorado
(7/22/2022)
RR
Connecticut
(7/22/2022)
RR
Delaware
(7/22/2022)
RR
District of Columbia
(7/22/2022)
RR
Florida
(7/22/2022)
RR
Georgia
(7/22/2022)
RR
Illinois
(7/22/2022)
RR
Indiana
(7/22/2022)
RR
Iowa
(7/22/2022)
RR
Kentucky
(7/22/2022)
RR
Louisiana
(7/22/2022)
RR
Maryland
(7/22/2022)
RR
Massachusetts
(7/22/2022)
RR
Michigan
(7/22/2022)
RR
Minnesota
(7/22/2022)
RR
Mississippi
(7/22/2022)
RR
Missouri
(7/22/2022)
RR
Nevada
(7/22/2022)
RR
New Jersey
(7/22/2022)
RR
New York
(7/22/2022)
RR
North Carolina
(7/22/2022)
RR
Ohio
(7/22/2022)
RR
Oregon
(7/22/2022)
RR
Pennsylvania
(7/22/2022)
RR
Rhode Island
(7/22/2022)
RR
Texas
(7/22/2022)
RR
Vermont
(7/22/2022)
RR
Virginia
(7/22/2022)
RR
Washington
(7/22/2022)
RR
West Virginia
(7/22/2022)
RR
Wisconsin
(7/22/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/12/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KPMG CORPORATE FINANCE LLC
KPMC CORPORATE FINANCE LLC | KPMG CORPORATE FINANCE LLC

CRD#: 103973 / SEC#: , 8-52462

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

Main Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Mailing Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Phone number
(312) 665-3100
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KPMG LLPOWNER
BROKMEIER, REBECCA EWINGPRESIDENT4704333
IZAGUIRRE, ALFREDOCHIEF COMPLIANCE OFFICER2055065
OZTAN, EROL MURATFINOP, PRINCIPAL FINANCIAL OFFICER5493662

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

KPMG CORPORATE FINANCE LLC

CRD#: 103973New York, NY 10001

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