Michael Gargano
Professional summary
Michael Gargano, who also goes by Michael Gaetano Gargano, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 24, Series 27, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Gargano's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2020 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281June 18, 2018 - July 21, 2020
CF SECURED, LLC
June 18, 2018 - July 21, 2020
CANTOR FITZGERALD & CO.
April 18, 2017 - June 27, 2018
CASTLEOAK SECURITIES, LP
March 26, 2014 - April 12, 2016
THE VERTICAL GROUP
April 12, 2011 - March 18, 2014
TOPEKA CAPITAL MARKETS INC.
May 5, 2009 - January 28, 2011
PERSHING LLC
March 29, 2006 - May 5, 2009
MORGAN STANLEY & CO. LLC
May 16, 2000 - May 5, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/14/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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