Cary Galant

DRIVEWEALTH

New York, NY 10005

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CRD#: 6418259

Professional summary

Cary Galant, who also goes by Cary M Galant, is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York.

Cary is registered as a RR (Registered Representative) and started their career in finance in 2015. Cary has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 86, Series 87, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cary M Galant

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 Cary Galant'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

August 24, 2023 - Present

DRIVEWEALTH, LLC

Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005

CRD#: 165429

New York, NY

Past

March 23, 2021 - December 16, 2021

OPEN TO THE PUBLIC INVESTING, INC.

CRD#: 127818

NEW YORK, NY

Past

October 22, 2020 - March 22, 2021

DRIVEWEALTH, LLC

CRD#: 165429

NEW YORK, NY

Past

June 18, 2018 - September 30, 2020

STASH CAPITAL LLC

CRD#: 287728

New York, NY

Past

February 16, 2016 - May 11, 2017

BTIG, LLC

CRD#: 122225

NEW YORK, NY

Past

January 1, 2015 - February 8, 2016

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(8/24/2023)

New York
(8/24/2023)

Exams

State Security Law Exam

Series 63

Date: 1/16/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/11/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 7/19/2016

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 4/24/2016

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 4/2/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/31/2014

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DRIVEWEALTH, LLC

DRIVEWEALTH, LLC | MYSOLOMEO, LLC

CRD#: 165429 / SEC#: , 8-69161

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

28 Liberty Street 50th Floor, New York, NY 10005

Mailing Address

28 Liberty Street 50th Floor, New York, NY 10005

Phone number

(973) 559-6750

Established

New Jersey since 05/24/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DRIVEWEALTH HOLDINGS, INC.	SOLE MEMBER
BLANGIARDO, ALESSIO	FINANCIAL & OPERATIONS PRINCIPAL	5600541
ILARIO, ANTHONY	COO	2262100
LAMKE, JAMES DANIEL	CHIEF COMPLIANCE OFFICER	1418047
PALAPARTHI, VENU MADHAV	CHIEF EXECUTIVE OFFICER	2437777
POND, ERIC	ROSFP	6069469
QUINONES, VINCENT JOSEPH	HEAD OF EXECUTION SERVICES	4308610

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Cary Galant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cary Galant's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPEN TO THE PUBLIC INVESTING, INC.

DRIVEWEALTH, LLC

STASH CAPITAL LLC

BTIG, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2015

Series 57TO

Date: 1/11/2019

SIE

Date: 10/1/2018

Series 86

Date: 7/19/2016

Series 87

Date: 4/24/2016

Series 7

Date: 4/2/2015

Series 6

Date: 12/31/2014

Series 24

Date: 2/14/2020

FINRA

Current Firm

DRIVEWEALTH, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DRIVEWEALTH, LLC

TRUST BUT VERIFY

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