Sharon Alexandra Gaviria
Professional Summary
Sharon Alexandra Gaviria, who also goes by Arguello, is a registered financial advisor currently at STUART FRANKEL & CO., INCORPORATED located in Great Neck, New York. Sharon is registered as a RR (Registered Representative) and started their career in finance in 2004. Sharon has worked at 3 firms and has passed the Series 99TO, SIE, Series 62, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Arguello
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
STUART FRANKEL & CO | STUART FRANKEL & CO., INCORPORATED
Contact Information
Main Address
60 Cutter Mill Road Suite 210, Great Neck, NY 11021Mailing Address
60 Cutter Mill Road Suite 210, Great Neck, NY 11021Phone Number
(212) 943-8787Established
New York since 08/21/1987Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed May 2014SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sharon Alexandra Gaviria's CRS (Customer Relationship Summary).
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