Gino Carollo

OPAL WEALTH ADVISORS

Jericho, NY 11753

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CRD#: 2778128

Professional summary

Gino Carollo is a registered financial advisor currently at OPAL WEALTH ADVISORS, LLC located in Jericho, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Jericho, New York.

Gino is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Gino has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Gino Carollo'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

October 22, 2021 - Present

OPAL WEALTH ADVISORS, LLC

Office #1: 2 Jericho Plaza Suite 208, Jericho, NY 11753

RIA

CRD#: 289759

Jericho, NY

Current

October 22, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2 Jericho Plaza Suite 208, Jericho, NY 11753

CRD#: 35747

Jericho, NY

Past

November 29, 2012 - October 25, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MANHASSET, NY

Past

October 18, 2012 - October 25, 2021

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MANHASSET, NY

Past

June 21, 2006 - October 8, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MANHASSET, NY

Past

January 1, 2005 - October 8, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

MANHASSET, NY

Past

April 15, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

August 12, 2002 - April 14, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

December 17, 2001 - April 14, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 25, 2000 - July 12, 2001

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

NEW YORK, NY

Past

January 7, 1999 - February 24, 1999

WIN CAPITAL CORP.

CRD#: 36172

BAYVILLE, NY

Past

October 13, 1998 - December 8, 1998

FAB SECURITIES OF AMERICA, INC.

CRD#: 28212

NEW YORK, NY

Past

June 4, 1998 - July 2, 1998

WEST AMERICA SECURITIES CORP

CRD#: 35035

LAS VEGAS, NV

Past

May 27, 1998 - August 25, 1998

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

December 10, 1996 - April 8, 1998

GLOBAL STRATEGIES GROUP, INC.

CRD#: 27414

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPAL WEALTH ADVISORS, LLC

BLAISE ADVISORS, LLC | OPAL WEALTH ADVISORS, LLC

CRD#: 289759 / SEC#: 801-114223

RIA

Registered Investment Advisory firm - (11/1/2018 Approved)

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.

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

California
(10/22/2021)

District of Columbia
(12/8/2021)

New Hampshire
(11/22/2021)

New York
(10/22/2021)

IAR

New York
(10/22/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/5/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/2/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/22/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

OPAL WEALTH ADVISORS, LLC

BLAISE ADVISORS, LLC | OPAL WEALTH ADVISORS, LLC

CRD#: 289759 / SEC#: 801-114223

RIA

Registered Investment Advisory firm - (11/1/2018 Approved)

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Contact information

Main Address

2 Jericho Plaza Suite 208, Jericho, NY 11753

Mailing Address

Phone number

(516) 388-7980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OPAL WEALTH ADVISORS, LLC (2/1/2026)

Regulatory assets under management

Total Number of Accounts	2,411
AUM (Assets Under Management)	$ 1,238,191,462

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
09/16/2024	Cover Page	Report
01/05/2024	Cover Page	Report

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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Firm Stability Insights

Gino Carollo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gino Carollo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DALTON KENT SECURITIES GROUP, INC.

WIN CAPITAL CORP.

FAB SECURITIES OF AMERICA, INC.

WEST AMERICA SECURITIES CORP

MORGAN GRANT CAPITAL CORP.

GLOBAL STRATEGIES GROUP, INC.

Primary Firm SEC Registration

OPAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2002

Series 63

Date: 9/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/28/1996

Series 10

Date: 12/2/2004

Series 9

Date: 10/22/2004

FINRA

Current Firm

OPAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPAL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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