Gabriel R. Vallejo
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.
Gabriel Rory Vallejo was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 2007. Gabriel had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2024 - May 29, 2026
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 27, 2023 - June 7, 2024
OPENYIELD TRADING LLC
June 16, 2021 - May 18, 2022
REVOLUT SECURITIES INC.
January 5, 2015 - September 24, 2019
NEUBERGER BERMAN BD LLC
January 26, 2010 - December 31, 2014
COWEN AND COMPANY
November 27, 2007 - December 31, 2009
RAMIUS SECURITIES LLC
May 16, 2007 - November 21, 2007
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 11/14/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
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.
