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RG

Rachael I. Gargano

RONDOUT PARTNERS
High Falls, NY 12440
Some features on this profile are disabled
CRD#: 7250415
RG

Professional summary

Rachael Ingrid Gargano, who also goes by Rachael Gargano, is a registered financial professional currently at RONDOUT PARTNERS, LLC located in High Falls, New York.

Rachael is registered as a RR (Registered Representative) and started their career in finance in 2021. Rachael has worked at 1 firm and has passed the Series 63, Series 82TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rachael Gargano

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 Rachael Ingrid Gargano'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

February 8, 2021 - Present

RONDOUT PARTNERS, LLC

Office #1: 617 Berme Road, High Falls, NY 12440
BD
CRD#: 298367
High Falls, 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
California
(4/11/2021)
RR
New York
(2/8/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 2/6/2021
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/9/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RP
RONDOUT PARTNERS, LLC
DALKEITH GROUP, LLC | RONDOUT PARTNERS, LLC

CRD#: 298367 / SEC#: , 8-70190

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
617 Berme Road, High Falls, NY 12440
Mailing Address
617 Berme Road, High Falls, NY 12440
Phone number
(646) 334-5330
Established
New York since 05/25/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GARCIA-EGGEN, PEDRO GLENOWNER/MANAGING MEMBER, CCO, AMLCO2529228
DELANY, NICOLE THERESAFINANCIAL PRINCIPAL, PFO, POO7448009

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

RONDOUT PARTNERS, LLC

CRD#: 298367High Falls, NY 12440

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