Unclaimed Profile

Samuel Vasquez Gaeta

DEFINED FINANCIAL PLANNING LLC·SAN RAFAEL, California

SIE, Series 7TO, Series 63, Series 65CFPClean record10 years registeredDEFINED FINANCIAL PLANNING LLC

899 NORTHGATE DR, SAN RAFAEL, CA 94903CRD# 6616279Firm CRD# 310137

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Samuel Vasquez Gaeta · SAN RAFAEL, CA

Registration

CRD #6616279 · DEFINED FINANCIAL PLANNING LLC · 10 years registered

Brand Profile

Not yet started

Career History

MARINER

Nov 2025 – present

DEFINED FINANCIAL PLANNING LLC

Sep 2020 – Nov 2025

NOVATO, CA

J. W. COLE ADVISORS, INC.

Apr 2019 – Sep 2020

ALAMEDA, CA

GLOBAL FINANCIAL PRIVATE CAPITAL, LLC

Feb 2016 – Apr 2019

ALAMEDA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7TO

Series 63

Series 65

Registration record

First registered · February 24, 2016

Years registered · 10

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DEFINED FINANCIAL PLANNING LLC

CRD 310137 · SEC 801-126370

AUM

$114M

Regulatory assets under management

Employees

255 client accounts

Services offered by DEFINED FINANCIAL PLANNING LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DEFINED FINANCIAL PLANNING LLC →

Introduction

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Frequently Asked Questions

What services does Samuel Vasquez Gaeta offer?

Samuel Vasquez Gaeta specializes in Financial Planning, Investment Management. Contact their office in SAN RAFAEL, California for a consultation.

What are Samuel Vasquez Gaeta's credentials?

Samuel Vasquez Gaeta holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Samuel Vasquez Gaeta located?

Samuel Vasquez Gaeta is based in SAN RAFAEL, California, working with DEFINED FINANCIAL PLANNING LLC. Their office serves clients in the SAN RAFAEL metropolitan area and surrounding communities.

How does Samuel Vasquez Gaeta charge for services?

Samuel Vasquez Gaeta's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DEFINED FINANCIAL PLANNING LLC?

DEFINED FINANCIAL PLANNING LLC has approximately 5 employees and manages $114M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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