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NG

Neil J. Gabriel

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CRD#: 1057108
NG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neil Jonathan Gabriel was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1982. Neil had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2013 - January 2, 2020

KJM SECURITIES, INC.

BD
CRD#: 20277
BRONXVILLE, NY
Past

February 23, 2010 - December 31, 2012

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
NEW YORK, NY
Past

September 25, 2008 - February 2, 2010

SINCLAIR & COMPANY, LLC

BD
CRD#: 133754
DARIEN, CT
Past

November 15, 2007 - January 2, 2008

CHAMPLAIN ADVISORS, LLC

BD
CRD#: 129560
CHRISTIANSTED TOWN, VI
Past

July 23, 2003 - February 26, 2007

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

July 27, 2002 - August 6, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 15, 2002 - July 26, 2002

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

May 2, 2000 - November 12, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

August 18, 1987 - May 11, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

June 23, 1986 - September 1, 1987

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

January 24, 1985 - June 5, 1986

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

July 22, 1982 - January 7, 1985

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1982
General Securities Representative Examination

Current Firm

KS
KJM SECURITIES, INC.
KJM SECURITIES, INC. | WEALTH INCOME INTERNATIONAL CORPORATION | WEALTH AMERICA INCOME CORPORATION | STEWART NEW YORK INTERNATIONAL CORPORATION | STEWART NEW YORK INCOME CORPORATION

CRD#: 20277 / SEC#: , 8-38066

BD
Cancelled by SEC on 06/09/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/16/1986
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOUSTAKAS, KOSTA JOHNPRESIDENT AND CEO COO CCO CFO AMLCO1171093

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

KJM SECURITIES, INC.

CRD#: 20277

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