Carl Cascio

G.DISTRIBUTORS

Rye, NY 10580

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CRD#: 2791121

Professional summary

Carl Cascio JR is a registered financial professional currently at G.DISTRIBUTORS, LLC located in Rye, New York.

Carl is registered as a RR (Registered Representative) and started their career in finance in 1996. Carl has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Carl Cascio 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

November 6, 2014 - Present

G.DISTRIBUTORS, LLC

Office #1: One Corporate Center, Rye, NY 10580

CRD#: 155071

Rye, NY

Past

January 15, 2014 - November 10, 2014

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

September 4, 2013 - January 16, 2014

HRC FUND ASSOCIATES, LLC

CRD#: 142846

NEW YORK, NY

Past

December 7, 2009 - September 3, 2013

LOEB PARTNERS CORPORATION

CRD#: 10929

NEW YORK, NY

Past

December 12, 2003 - December 1, 2009

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

February 8, 2002 - May 6, 2002

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

November 5, 1999 - January 23, 2002

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

June 20, 1997 - September 14, 1999

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

October 25, 1996 - May 30, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

Delaware
(7/12/2021)

Florida
(1/7/2025)

Kansas
(1/13/2023)

New Jersey
(11/16/2020)

New York
(11/6/2014)

Pennsylvania
(7/12/2021)

Exams

State Security Law Exam

Series 63

Date: 11/21/1996

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: 10/24/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

G.DISTRIBUTORS, LLC

G.DISTRIBUTORS, LLC | GABELLI FUNDS DISTRIBUTOR, LLC

CRD#: 155071 / SEC#: , 8-68697

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Corporate Center, Rye, NY 10580-1435

Mailing Address

One Corporate Center, Rye, NY 10580-1435

Phone number

(914) 921-5000

Established

Delaware since 08/10/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DISTRIBUTORS HOLDINGS INC.	THE SINGLE MEMBER OF G.DISTRIBUTORS, LLC
BALL, JOHN CHESTER	CHIEF EXECUTIVE OFFICER	3153792
CALDWELL, MAXIMILIAN SMITH	FINOP, TREASURER	5482642
MCNIFF, ARTHUR JOSEPH	CHIEF COMPLIANCE OFFICER	4586817
SWIRBUL, JASON GREY	SR. VICE PRESIDENT	2867816

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

Carl Cascio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carl Cascio JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA CAPITAL, LLC

HRC FUND ASSOCIATES, LLC

LOEB PARTNERS CORPORATION

G.RESEARCH, LLC

FIRST EMPIRE SECURITIES, INC.

FAM DISTRIBUTORS, INC.

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/24/1996

FINRA

Current Firm

G.DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

G.DISTRIBUTORS, LLC

TRUST BUT VERIFY

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