Alice A. Gabriele

PINNACLE ASSOCIATES, LTD.

Naples, FL

Some features on this profile are disabled

CRD#: 1361688

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alice Marie Athanasiou | Alice Athanasiou

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) - RIA

Click below to view Alice Athanasiou Gabriele'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®

None

Experience

Current

February 15, 2007 - Present

PINNACLE ASSOCIATES, LTD.

RIA

CRD#: 110631

Naples, FL

Past

September 8, 2011 - April 2, 2014

WITHUM WEALTH MANAGEMENT

RIA

CRD#: 158332

NEW YORK, NY

Past

October 10, 2002 - May 11, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 22, 2002 - September 11, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 24, 2001 - November 2, 2001

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

November 30, 2000 - April 17, 2001

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

Past

July 23, 1987 - October 10, 1994

GOLDMAN SACHS & CO. LLC

CRD#: 361

Past

April 23, 1985 - August 9, 1985

MORGAN STANLEY & CO. LLC

CRD#: 8209

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".

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 Approved)

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

Connecticut
(2/15/2007)

IAR

Florida
(3/31/2016)

IAR

New York
(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

State Security Law Exam

IAR

Series 65

Date: 2/14/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/29/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/22/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 12/11/1987

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 10/16/1987

Foreign Currency Options Examination

Principal/Supervisory Exam

Series 8

Date: 8/23/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

286 Madison Avenue 20th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 652-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE ASSOCIATES LTD. FORM ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,429
AUM (Assets Under Management)	$ 9,866,562,515

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/14/2025	Cover Page	Report
01/11/2024	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alice A. Gabriele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alice Athanasiou Gabriele's CRS (Customer Relationship Summary).

Certified licenses

Experience

WITHUM WEALTH MANAGEMENT

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

COMMONWEALTH ASSOCIATES

SIDOTI & COMPANY, LLC

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

PINNACLE ASSOCIATES, LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2007

Series 63

Date: 11/13/2000

Series 7

Date: 11/29/2000

Series 3

Date: 12/22/1987

Series 5

Date: 12/11/1987

Series 15

Date: 10/16/1987

Series 8

Date: 8/23/1991

Current Firm

PINNACLE ASSOCIATES, LTD.

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PINNACLE ASSOCIATES, LTD.

TRUST BUT VERIFY

Similar Advisors