Gabrielle A. Magdziarz
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.
Gabrielle Ann Magdziarz, who also goes by Gabrielle Magdziarz, Gabrielle Ann Pennellatore, Gabrielle Pennellatore, was a registered financial professional .
Gabrielle is a previously registered financial professional and started their career in finance in 2010. Gabrielle had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2016 - June 27, 2022
CANTELLA & CO., INC.
July 8, 2016 - June 27, 2022
CANTELLA & CO., INC.
October 3, 2013 - July 5, 2016
INVESTORS CAPITAL CORP.
October 3, 2013 - July 5, 2016
INVESTORS CAPITAL CORP.
September 14, 2012 - August 14, 2013
UBS FINANCIAL SERVICES INC.
March 8, 2011 - January 18, 2012
STRATEGIC ADVISERS LLC
October 18, 2010 - January 17, 2012
FIDELITY BROKERAGE SERVICES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
