Gabriele Sorbara

SIEBERT WILLIAMS SHANK & CO.

New York, NY 10005

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CRD#: 4841739

Professional summary

Gabriele Sorbara is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.

Gabriele is registered as a RR (Registered Representative) and started their career in finance in 2005. Gabriele has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriele Sorbara's CRS (Customer Relationship Summary).

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

November 5, 2019 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 100 Wall Street 18th Floor, New York, NY 10005

CRD#: 42568

New York, NY

Past

July 20, 2016 - November 5, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

March 25, 2013 - June 3, 2016

TOPEKA CAPITAL MARKETS INC.

CRD#: 154133

NEW YORK, NY

Past

November 15, 2012 - December 21, 2012

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 108258

PALM BEACH GARDENS, FL

Past

July 2, 2012 - December 21, 2012

IMPERIAL CAPITAL, LLC

CRD#: 43744

NEW YORK, NY

Past

September 12, 2011 - June 26, 2012

CARIS & COMPANY, INC.

CRD#: 104235

NEW YORK, NY

Past

October 10, 2005 - August 24, 2011

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

NEW YORK, NY

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
(11/5/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/6/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 1/10/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 10/7/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

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

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

Red Flags

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Gabriele Sorbara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriele Sorbara's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WILLIAMS CAPITAL GROUP, L.P.

TOPEKA CAPITAL MARKETS INC.

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

IMPERIAL CAPITAL, LLC

CARIS & COMPANY, INC.

KEYBANC CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2012

Series 63

Date: 5/31/2006

SIE

Date: 10/1/2018

Series 87

Date: 3/6/2006

Series 86

Date: 1/10/2006

Series 7

Date: 10/7/2005

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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