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GV

Gabriel R. Vallejo

GLOBAL ATLANTIC DISTRIBUTORS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5313425
GV

Professional summary

Gabriel Rory Vallejo is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in New York, New York.

Gabriel is registered as a RR (Registered Representative) and started their career in finance in 2007. Gabriel has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Gabriel Rory Vallejo'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®
None

Experience

Current

June 13, 2024 - Present

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Office #1: 30 Hudson Yards 70th, New York, NY 10001
BD
CRD#: 8326
New York, NY
Past

September 27, 2023 - June 7, 2024

OPENYIELD TRADING LLC

BD
CRD#: 326199
NEW YORK, NY
Past

June 16, 2021 - May 18, 2022

REVOLUT SECURITIES INC.

BD
CRD#: 304600
NEW YORK, NY
Past

January 5, 2015 - September 24, 2019

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 26, 2010 - December 31, 2014

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

November 27, 2007 - December 31, 2009

RAMIUS SECURITIES LLC

BD
CRD#: 41076
NEW YORK, NY
Past

May 16, 2007 - November 21, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(6/13/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 11/14/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/21/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GA
GLOBAL ATLANTIC DISTRIBUTORS, LLC
FORETHOUGHT DISTRIBUTORS, LLC | PLANCO FINANCIAL SERVICES, LLC | PLANCO FINANCIAL SERVICES, INC. | HARTFORD LIFE DISTRIBUTORS, LLC | GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326 / SEC#: , 8-25027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Mailing Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Phone number
(877) 454-4777
Established
Delaware since 12/15/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL ATLANTIC (FIN) COMPANYOWNER
BICKLER, JASON ALEXANDERPRESIDENT AND MANAGER4164884
MOORCROFT, WILLIAM BENJAMINCHIEF COMPLIANCE OFFICER4258952
NELSON, PAULA GENEVIEVEMANAGER, HEAD OF DISTRIBUTION2015528
PAULOUSKY, MICHAEL RYANTREASURER7339297
RAMOS, SAMUELGENERAL COUNSEL AND SECRETARY6722343
RIP, OLGAFINOP AND CHIEF FINANCIAL OFFICER5440553
RUTHERFORD, KELLY JUNESENIOR VICE-PRESIDENT7282305
SIEGEL, DEAN CYRUSVICE PRESIDENT3224832
TODD, ERIC DAVIDMANAGER2175308
WEISS, DAVID LEESENIOR VICE PRESIDENT2345057

Disclosures

Regulatory Event2

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.

Company Information

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326New York, NY 10001

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