Gustavo A. Gala
Professional summary
Gustavo A Gala, who also goes by Gustavo Andre Gala, is a registered financial professional currently at MONNESS CRESPI HARDT & CO., INC. located in New York, New York.
Gustavo is registered as a RR (Registered Representative) and started their career in finance in 2019. Gustavo has worked at 3 firms and has passed the Series 63, Series 7TO, Series 86, Series 87 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gustavo A Gala's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2023 - Present
MONNESS CRESPI HARDT & CO., INC.
Office #1: 767 Third Avenue, New York, NY 10017-2047July 19, 2021 - July 7, 2023
TRUIST SECURITIES, INC.
December 23, 2019 - July 7, 2021
ROTH CAPITAL PARTNERS, 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
(7/13/2023)
(7/13/2023)
(8/7/2023)
(8/7/2023)
(9/8/2023)
(7/13/2023)
(7/14/2023)
(7/13/2023)
(8/7/2023)
(7/13/2023)
(7/17/2023)
(7/17/2023)
Exams
Series 7TO
Date: 12/19/2021
General Securities Representative ExaminationFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
MONNESS CRESPI HARDT & CO., INC.
CRD#: 7424 / SEC#: , 8-21380
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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