GLADSTONE WEALTH PARTNERS of PALM BEACH GARDENS, FL is an SEC-registered investment adviser (CRD 250787). Regulatory assets under management: $5.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Andrew Allen Osby | CHIEF INVESTMENT OFFICER | — |
| Kristopher Bonocore | PRESIDENT | — |
| James Herlein | CHIEF FINANCIAL OFFICER | — |
| Evan Lasse Baldwin | CHIEF COMPLIANCE OFFICER | — |
| Jennifer Lynn Hoffman | CHIEF OPERATING OFFICER | — |
| Craig Adam Kessler | CHIEF INVESTMENT OFFICER | — |
| SLOMIN ROBERT PAUL | CHIEF COMPLIANCE OFFICER; CHIEF RISK OFFICER; SHAREHOLDER | — |
| BROTHERS KELLY THOMAS | CHIEF OPERATING OFFICER; SHAREHOLDER | — |
| BONOCORE KRISTOPHER | DIRECTOR; PRESIDENT; SHAREHOLDER | — |
| FRIZE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| KESSLER CRAIG ADAM | CHIEF INVESTMENT OFFICER | — |
| RICH DAVID SEAN | CHIEF COMPLIANCE OFFICER | — |
| DRAGOTTA RICHARD GASPARE | CHIEF COMPLIANCE OFFICER | — |
| MCPARTLAN DENNIS | CHIEF COMPLIANCE OFFICER | — |
| HUDSON ROBERT PAUL | CHAIRMAN & MANAGING MEMBER; PRESIDENT; PRESIDENT/MANAGING MEMBER (+1 more) | — |
| FRICK RICHARD EDWARD | CHIEF EXECUTIVE OFFICER; SHAREHOLDER | — |
| MARCHETTI PHILIP ANTHONY | DIRECTOR; SHAREHOLDER | — |
| HERLEIN JAMES | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-28 | regulatory | RESPONDENT UNITENTIONALLY VIOLATED 18 DEL. C SECTION 1719 IN THAT HE DID NOT REPORT "AN ADMINISTRATIVE ACTION TAKEN BY ANOTHER JURISDICTION" TO THE DELAWARE INSURANCE COMMISSIONER. | Final | $500 |
| 2023-06-07 | regulatory | IN RESPONSE TO A FINRA SUSPENSION (DISCUSSED BELOW), THE CALIFORNIA DEPARTMENT OF INSURANCE SUSPENDED THE REGISTERED REP'S INSURANCE LICENSE FOR FOURTEEN DAYS FROM AUGUST 13, 2023 THROUGH AUGUST 25, 2023. ON JANUARY 31, 2023, IN CASE NO. 2020068689201, FINRA ACCEPTED REPRESENTATIVE'S AWC WHEREBY REP… | Final | — |
| 2023-02-10 | regulatory | TIRANA'S WAS SUSPENDED AFTER HE ENTERED INTO AN AWC WITH FINRA WITHOUT ADMITTING OR DENYING THE FINDINGS THE VIOLATED THE SECURITIES ACT. HE WAS SUSPENDED BY FINRA IN ALL CAPACITIES FOR A PERIOD OF 3 MONTHS AND AGREED TO PAY A FINE IN THE AMOUNT OF $5,000. | Final | — |
| 2021-04-21 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, NEILL CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE CAUSED HIS MEMBER FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS BY CHANGING THE REPRESENTATIVE CODE FOR TRADES, CAUSING THE TRADE CONFIRMATIONS TO SHOW AN INACCURATE REPRESENTATIVE CODE.… | Final | $5K |
| 2020-11-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, BRETTLER CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE CAUSED HIS MEMBER FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS BY FALSIFYING THE REPRESENTATIVE CODE FOR TRADES IN THE FIRM'S ORDER ENTRY SYSTEM, CAUSING THE FIRM'S TRADE CONFIRMATION… | Final | $5K |
| 2020-07-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, TIRANA CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE FALSIFIED THE REPRESENTATIVE CODE FOR TRADES IN HIS MEMBER FIRM'S ORDER ENTRY SYSTEM, CAUSING THE FIRM'S TRADE CONFIRMATIONS TO SHOW AN INACCURATE REPRESENTATIVE CODE AND AS A RESULT, HE… | Final | $5K |
| 2014-05-27 | regulatory | MATERIALITY OF OMISSIONS AND MISREPRESENTATIONS; BREACH OF FIDUCIARY DUTY; UNSUITABILITY; VIOLATION OF FINRA'S CONDUCT RULES; AND SECONDARY LIABILITY. | Final | $353K |