Alan D. Gammel

HORIZONS SUSTAINABLE FINANCIAL SERVICES

Puyallup, WA

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CRD#: 1312107

Professional summary

Alan Dale Gammel, AIF®, CFP® is a registered financial advisor currently at HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC. located in Puyallup, Washington.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Alan has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

CITIGROUP/PRIMERICA 1986 TO PRESENT, PRIMERICA FINANCIAL SERVICES UNIVERSITY INSTRUCTOR FOR INSURANCE PRE-LICENSING ON WEEKENDS. (SEE EMPLOYMENT HISTORY) THIS DOES NOT COVER ANY TRADING HOURS. I AM A PRT-TIME EMPLOYEE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Dale Gammel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

CRD#: 3866

SEATTLE, WA

Past

November 9, 1984 - April 21, 1988

PFS INVESTMENTS INC.

CRD#: 10111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD#: 164970 / SEC#: 801-120599

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

California

Registered Investment Advisory firm - (4/25/2021 Terminated)

Colorado

Registered Investment Advisory firm - (3/26/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (3/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (8/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(6/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/8/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/6/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

CRD#: 164970 / SEC#: 801-120599

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

California

Registered Investment Advisory firm - (4/25/2021 Terminated)

Colorado

Registered Investment Advisory firm - (3/26/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (3/26/2021 Terminated)

Oregon

Registered Investment Advisory firm - (8/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2021 Terminated)

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Contact information

Main Address

535 Cerrillos Road Suite A2, Santa Fe, NM 87501

Mailing Address

Phone number

(505) 982-9661

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	714
AUM (Assets Under Management)	$ 131,873,325

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.

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Firm Stability Insights

Alan D. Gammel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Dale Gammel's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST AFFIRMATIVE FINANCIAL NETWORK LLC

SUMMIT CAPITAL ADVISORS

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2000

Series 63

Date: 11/6/1984

Series 7

Date: 7/6/2000

Series 6

Date: 11/8/1984

Series 26

Date: 4/6/1988

Current Firm

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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