Gino Carollo

Investment Adviser Representative at OPAL WEALTH ADVISORS, LLC

JERICHO, NYCRD #2778128Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

28 yrs

States Registered

4 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 4 states

CaliforniaDistrict of ColumbiaNew HampshireNew York

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 1/5/2002

Series 63

Uniform Securities Agent State Law Examination

Passed 9/16/1996

Series 10

General Securities Sales Supervisor - General Module Examination

Passed 12/2/2004

Series 9

General Securities Sales Supervisor - Options Module Examination

Passed 10/22/2004

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 8/28/1996

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

OPAL WEALTH Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PURSHE KAPLAN STERLING INVESTMENTSCurrent

10/22/2021 – Jericho, NY

WEST AMERICA SECURITIES CORP

6/4/1998 – 7/2/1998LAS VEGAS, NV

MORGAN GRANT CAPITAL CORP.

5/27/1998 – 8/25/1998GARDEN CITY, NY

DALTON KENT SECURITIES GROUP, INC.

4/25/2000 – 7/12/2001NEW YORK, NY

HSBC BROKERAGE (USA) INC.

4/15/2004 – 1/1/2005NEW YORK, NY

MORGAN STANLEY DW INC.

12/17/2001 – 4/14/2004PURCHASE, NY

GLOBAL STRATEGIES GROUP, INC.

12/10/1996 – 4/8/1998NEW YORK, NY

CITIGROUP GLOBAL MARKETS INC.

10/18/2012 – 10/25/2021MANHASSET, NY

RAS SECURITIES CORP.

10/13/1998 – 12/8/1998NEW YORK, NY

WIN CAPITAL CORP.

1/7/1999 – 2/24/1999BAYVILLE, NY

HSBC SECURITIES (USA) INC.

1/1/2005 – 10/8/2012MANHASSET, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Gino Carollo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.