Alvin A. Gattoc
Professional summary
Alvin Aquino Gattoc, who also goes by Alvin A Gattoc, Alvin Gattoc, is a registered financial professional currently at KEPLER CAPITAL MARKETS, INC. located in New York, New York.
Alvin is registered as a RR (Registered Representative) and started their career in finance in 2007. Alvin has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alvin Aquino Gattoc's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2023 - Present
KEPLER CAPITAL MARKETS, INC.
Office #1: 12 East 49th Street 31st Floor, New York, NY 10017October 29, 2019 - March 22, 2022
CBOE TRADING, INC.
December 8, 2015 - August 30, 2019
GOLDMAN SACHS & CO. LLC
May 30, 2008 - December 11, 2015
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 30, 2007 - June 19, 2008
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/28/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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