Estefania Gorman

SCALA CAPITAL LLC

Ft Myers, FL

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CRD#: 6168784

Professional summary

Estefania Gorman, who also goes by Estefania Castillo, is a registered financial advisor currently at SCALA CAPITAL LLC located in Ft Myers, Florida.

Estefania is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Estefania has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Estefania Castillo

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.

OTHER BUSINESS NAME: FAVOR - DELIVERY SERVICE. LOCATION: N/A. NATURE OF BUSINESS: DELIVERY SERVICE. POSITION OR TITLE: RUNNER (DELIVERY DRIVER). RESPONSIBILITIES: DELIVERY DRIVER FOR RESTAURANT ORDERS, GROCERIES, LAUNDRY. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS). 20 TOTAL/NONE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Estefania Gorman's CRS (Customer Relationship Summary).

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

July 24, 2024 - Present

SCALA CAPITAL LLC

RIA

CRD#: 156165

Ft Myers, FL

Past

March 12, 2019 - April 17, 2024

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

FORT MYERS, FL

Past

March 12, 2019 - April 17, 2024

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

Austin, TX

Past

November 9, 2018 - March 8, 2019

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

AUSTIN, TX

Past

November 9, 2018 - March 8, 2019

OPPENHEIMER & CO. INC.

CRD#: 249

AUSTIN, TX

Past

October 3, 2014 - May 3, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

October 2, 2014 - May 3, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

February 6, 2014 - October 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIAMI, FL

Past

September 16, 2013 - October 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCALA CAPITAL LLC

ICONIC CAPITAL LLC | SMARTINVEST CAPITAL LLC | SCALA CAPITAL LLC

CRD#: 156165 / SEC#: 801-112881

RIA

Registered Investment Advisory firm - (4/18/2018 Approved)

Florida

Registered Investment Advisory firm - (12/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/24/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/3/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2013

General Securities Representative Examination

Current Firm

SCALA CAPITAL LLC

ICONIC CAPITAL LLC | SMARTINVEST CAPITAL LLC | SCALA CAPITAL LLC

CRD#: 156165 / SEC#: 801-112881

RIA

Registered Investment Advisory firm - (4/18/2018 Approved)

Florida

Registered Investment Advisory firm - (12/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/24/2018 Terminated)

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Contact information

Main Address

999 Brickell Avenue Suite 1006, Miami, FL 33131

Mailing Address

Phone number

(305) 539-3850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCALA CAPITAL ADV PART 2A (1/30/2025)

Regulatory assets under management

Total Number of Accounts	544
AUM (Assets Under Management)	$ 306,639,152

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.

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Firm Stability Insights

Estefania Gorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Estefania Gorman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SCALA CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2014

SIE

Date: 5/3/2017

Series 7

Date: 9/16/2013

Current Firm

SCALA CAPITAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCALA CAPITAL LLC

TRUST BUT VERIFY

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