Luis G. Macdonna
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luis Gabriel Macdonna, who also goes by Gabe Macdonna, Gabriel Macdonna, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1998. Luis had worked at 19 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2005 - September 20, 2005
ANDREW GARRETT INC.
November 19, 2004 - May 3, 2005
ANDREW GARRETT INC.
June 28, 2004 - October 28, 2004
INDEPENDENT SECURITIES INVESTORS CORPORATION
February 4, 2004 - March 12, 2004
FIRST HUDSON FINANCIAL GROUP, INC.
September 9, 2003 - March 8, 2004
JOSEPH STEVENS & CO., INC.
August 19, 2003 - September 15, 2003
GILFORD SECURITIES INCORPORATED
February 26, 2003 - August 28, 2003
PARKER FINANCIAL CORP.
October 31, 2002 - February 20, 2003
J.P. TURNER & COMPANY, L.L.C.
September 9, 2002 - December 4, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
March 19, 2002 - July 26, 2002
JOSEPH GUNNAR & CO. LLC
July 23, 2001 - April 25, 2002
NATIONAL SECURITIES CORPORATION
April 11, 2001 - August 9, 2001
SPENCER CLARKE LLC
January 4, 2001 - April 24, 2001
SOLID ISG CAPITAL MARKETS, LLC
August 11, 2000 - January 26, 2001
DALTON KENT SECURITIES GROUP, INC.
May 15, 2000 - July 14, 2000
GRAYSON FINANCIAL LLC
November 23, 1999 - May 9, 2000
AUERBACH, POLLAK & RICHARDSON INC.
August 31, 1999 - November 10, 1999
PRIME CHARTER LTD.
July 20, 1999 - October 19, 1999
JOSEPH GUNNAR & CO. LLC
July 28, 1998 - July 16, 1999
GLEACHER & COMPANY SECURITIES, INC.
June 4, 1998 - July 23, 1998
CHATFIELD DEAN & CO., INC.
February 3, 1998 - June 8, 1998
FIRST ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
Contact information
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
