Alice Athanasiou Gabriele
Professional Summary
Alice Athanasiou Gabriele, who also goes by Alice Marie Athanasiou, Alice Athanasiou, is a registered financial advisor currently at PINNACLE ASSOCIATES, LTD. located in Naples, Florida. Alice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Alice has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 5, Series 15 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alice Marie Athanasiou, Alice Athanasiou
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)
Contact Information
Main Address
286 Madison Avenue 20th Floor, New York, NY 10017Phone Number
(212) 652-3200# of Employees
69SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,766AUM (Assets Under Management)
$10,386,022,125Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2026 | Cover Page | Report |
| 10/28/2025 | Cover Page | Report |
| 01/14/2025 | Cover Page | Report |
| 01/11/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)
State Registrations and Notice Filings
(2/15/2007)
(3/31/2016)
(9/4/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Dec 1987Series 15 — Foreign Currency Options Examination
Passed Oct 1987Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1991Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Alice Athanasiou Gabriele's CRS (Customer Relationship Summary).
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