Gabrielle V. Soria

BROKERTEC AMERICAS LLC

New York, NY 10282

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CRD#: 2954492

Professional summary

Gabrielle Vita Soria, who also goes by Gabrielle VIta Sorria, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.

Gabrielle is registered as a RR (Registered Representative) and started their career in finance in 2002. Gabrielle has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gabrielle Vita Sorria

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 Gabrielle Vita Soria'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

June 23, 2021 - Present

BROKERTEC AMERICAS LLC

Office #1: 300 Vesey Street 7th Floor, New York, NY 10282

CRD#: 47477

New York, NY

Past

July 27, 2020 - May 25, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

September 30, 2014 - March 6, 2019

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

August 21, 2002 - August 20, 2014

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

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

New York
(6/23/2021)

Exams

State Security Law Exam

Series 63

Date: 10/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2002

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/3/1997

National Commodity Futures Examination

Principal/Supervisory Exam

Series 30

Date: 11/14/2014

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

BROKERTEC AMERICAS LLC

BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

300 Vesey Street 7th Floor, New York, NY 10282

Mailing Address

300 Vesey Street 7th Floor, New York, NY 10282

Phone number

(800) 438-8616

Established

Delaware since 04/23/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROKERTEC HOLDINGS INC.	100% OWNERSHIP
CALDERON, DAVID JASON	CHIEF FINANCIAL OFFICER	4575354
DENNIS, MICHAEL	DIRECTOR	4192184
HIRSCHMANN, ELISA M	CHIEF COMPLIANCE OFFICER AND DIRECTOR	5112554
WAKEFIELD, JONATHAN BISHOP	CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR	1676639
WEINMAN, ANDREW LEONARD	CHIEF OPERATIONS OFFICER AND DIRECTOR	5209879

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Gabrielle V. Soria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabrielle Vita Soria's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

BNP PARIBAS SECURITIES CORP.

NATWEST MARKETS SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2002

Series 3

Date: 12/3/1997

Series 30

Date: 11/14/2014

FINRA

Current Firm

BROKERTEC AMERICAS LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BROKERTEC AMERICAS LLC

TRUST BUT VERIFY

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