Caroline Gabay

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2012 → Present
  Insurance-Non Variable
  New York, NY
• 08/2013 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 10/2016 → 02/2024
  Cetera Advisors Llc
  Denver, CO
• 06/2013 → Present
  Dba - Pinnacle Planning Group
  Tarrytown, NY
• 02/2024 → 01/2025
  Commonwealth Financial Network
  Waltham, MA
• 01/2025 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2025 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2024-02-09 → 2025-01-13
  Commonwealth Financial Network
  New Rochelle, NY
  Waltham, MA
• 2021-03-31 → 2024-02-12
  Cetera Advisors Llc
  Tarrytown, NY

Other Businesses

1) R NEW YORK, 641 Lexington Avnue, New York NY 10022, 01/2025, AGENT, REAL ESTATE, NIR, 1 HR/MO - 0 HR/MO TRADING. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 01/2025, AS ADMINISTRATIVE REP OF A RIA. INV REL, 80 HR/MO- 80 HR/MO TRADING. 3) CAROLINE GABAY, DBA PINNACLE PLANNING GROUP, 95 Jerome Avenue, New Rochelle NY 10804, 01/2025, AGENT, DBA NAME, NIR, 1 HR/MO - 0 HR/MO TRADING.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-06-11

Other Names

• Caroline Gottfriend