Gustavo A. Gelvez
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.
Gustavo Adolfo Sr Gelvez, who also goes by Gustavo Adolfo Gelvez, was a registered financial professional .
Gustavo is a previously registered financial professional and started their career in finance in 2007. Gustavo had worked at 1 firm and has passed the Series 65, Series 7TO, Series 99TO, SIE 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
November 27, 2023 - March 10, 2024
CG COMPASS (USA) LLC
May 8, 2007 - November 29, 2007
CG COMPASS (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 9/2/2025
General Securities Representative ExaminationSeries 99TO
Date: 11/27/2023
Operations Professional ExaminationCurrent Firm
CG COMPASS (USA) LLC
CRD#: 129837 / SEC#: , 8-66263
Contact information
FINRA licenses (18 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
