Caroline Gabay is a registered investment advisor, based in New Rochelle, NY, with 17 years of industry experience.
Location
New Rochelle, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
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Caroline is a real estate agent and operates under the DBA Pinnacle Planning Group, dedicating minimal time to each. She also serves as an administrative representative of a RIA, taking about half of her time.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
January 2025 - Present · 1 yr 4 mos
Cambridge Investment Research Advisors, INC.
January 2025 - Present · 1 yr 4 mos
Previous Registrations
Commonwealth Financial NetworkBroker
February 2024 - January 2025 · 11 mos
Commonwealth Financial Network
February 2024 - January 2025 · 11 mos
Cetera Advisors LLC
March 2021 - February 2024 · 2 yrs 11 mos
Cetera Advisors LLCBroker
October 2016 - February 2024 · 7 yrs 4 mos
Investors Capital CORP.Broker
August 2013 - October 2016 · 3 yrs 2 mos
Raymond James Financial Services, INC.Broker
May 2008 - August 2013 · 5 yrs 3 mos
State Registrations12 states
CACTFLILLAMAMDNJNYPARITX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.