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GC

Gabrielle M. Caranto

GM SECURITIES
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 7836951
GC

Professional summary

Gabrielle Madylien Caranto, who also goes by Gabby Caranto, Gabrielle Caranto, is a registered financial professional currently at GM SECURITIES, LLC located in Milwaukee, Wisconsin.

Gabrielle is registered as a RR (Registered Representative) and started their career in finance in 2024. Gabrielle has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gabby Caranto | Gabrielle Caranto

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 Gabrielle Madylien Caranto's 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

January 29, 2024 - Present

GM SECURITIES, LLC

Office #1: 833 E. Michigan Street, Suite 1420, Milwaukee, WI 53202
BD
CRD#: 154657
Milwaukee, WI

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
Wisconsin
(4/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/27/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GM SECURITIES, LLC
GM SECURITIES, LLC | MINOT PARTNERS, LLC

CRD#: 154657 / SEC#: , 8-68655

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
833 E. Michigan Street, Suite 1420, Milwaukee, WI 53202
Mailing Address
833 E. Michigan Street, Suite 1420, Milwaukee, WI 53202
Phone number
(414) 278-1120
Established
Wisconsin since 06/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GM HOLDCO, INC.SOLE OWNER
BEAGLE, JOHN LANTRYPRESIDENT2230709
CARDONA, ANDREW ROBERTCHIEF COMPLIANCE OFFICER6466257
SPAULDING, BRIDGET FARRELLCHIEF FINANCIAL OFFICER/ FINOP & SECRETARY6392261
YTTRE, KEVIN MVICE PRESIDENT6016839

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

GM SECURITIES, LLC

CRD#: 154657Milwaukee, WI 53202

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