Robert Gaeta

$3.84B regulatory AUM

Reported services (Item 5G)

Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

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

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-12-06
NY	RA	APPROVED	2023-12-06

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Carey Financial, Llc	New York	NY	02/2016	07/2017
Cion Securities, Llc	New York	NY	10/2017	12/2020
Unemployed	Rockville Centre	NY	08/2017	09/2017
Icapital Securities, Llc	New York	NY	04/2021	09/2023
Institutional Capital Network, Inc.	New York	NY	04/2021	09/2023
Unemployed	New York	NY	12/2020	04/2021
Hsbc Bank Usa N.A,	New York	NY	09/2023	Present
Hsbc Securities (Usa) Inc.	New York	NY	09/2023	Present

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-30