CG
Carlos E. Gadala-maria
VECTORGLOBAL IAG
Miami, FL 33131
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CRD#: 4437613
CG
Professional summary
Carlos Enrique Gadala-maria is a registered financial advisor currently at VECTORGLOBAL IAG, INC. located in Miami, Florida and VECTORGLOBAL WMG located in Miami, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Carlos has worked at 3 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SEAVIEW INVESTMENT MANAGERS LLC ADDRESS OF BUSINESS: 2 ALHAMBRA PLAZA, SUITE 802, GORAL GABLES, FL 33134 NATURE OF BUSINESS: INVESTMENT-RELATED POSITION OR TITLE: NON-VOTING SHAREHOLDER START DATE: JULY 9,2025 HOURS PER MONTH: ZERO HOUR DETAILS OF BUSINESS ACTIVITY: PASSIVE OWNERSHIP INTEREST ONLY; NO INVOLVEMENT IN MANAGEMENT, OPERATIONS, DECISION-MAKING OR RECEIPT COMPENSATION. FEIN:82-296574 ASCENDO INVESTMENT HOLDINGS, LLC, formed to be a holding company for other businesses that may be acquired in the future, including entities subject to securities laws, rules, and regulations. Approximate time expended in this regard is 5 to 10 hours a month.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Enrique Gadala-maria'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®
NoneExperience
Current
April 27, 2009 - Present
VECTORGLOBAL IAG, INC.
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131RIA
CRD#: 147129
Miami, FL
Current
July 17, 2007 - Present
VECTORGLOBAL WMG
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131Office #2: 1001 Brickell Bay Drive, Suite 1900, Miami, FL 33131Office #3: 2700 Post Oak Blvd Office 21-152, Houston, TX 77056BD
CRD#: 32396
Miami, FL
Past
September 24, 2008 - December 31, 2014
VECTORGLOBAL IAG, INC.
RIA
CRD#: 147129
MIAMI, FL
Past
January 22, 2002 - September 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/17/2007)
RR
Delaware(8/21/2007)
RR
Florida(7/17/2007)
IAR
Florida(4/27/2009)
RR
Massachusetts(8/21/2007)
RR
New Jersey(8/21/2007)
RR
New York(7/17/2007)
RR
North Carolina(6/13/2008)
RR
Texas(7/17/2007)
RR
Washington(4/1/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
Mailing Address
Phone number
(305) 350-3350
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,692,879,789 |
Red Flags
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Company Information
VECTORGLOBAL IAG, INC.
CRD#: 147129Miami, FL 33131TRUST BUT VERIFY
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