David L. Gabai
Professional summary
David Lawrence Gabai was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, David had worked at 10 firms, which includes COMERICA SECURITIES, LPL FINANCIAL LLC, 1717 CAPITAL MANAGEMENT COMPANY, EQUITY SERVICES INC., PRUCO SECURITIES LLC., NYLIFE SECURITIES LLC, TRIQUEST FINANCIAL INC., CITIGROUP GLOBAL MARKETS INC., KIDDER PEABODY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2011 - October 15, 2012
COMERICA SECURITIES
October 4, 2011 - October 15, 2012
COMERICA SECURITIES
September 2, 2004 - June 18, 2010
LPL FINANCIAL LLC
September 2, 2004 - June 18, 2010
LPL FINANCIAL LLC
October 28, 2003 - August 31, 2004
1717 CAPITAL MANAGEMENT COMPANY
July 24, 2003 - August 31, 2004
1717 CAPITAL MANAGEMENT COMPANY
January 19, 2000 - September 16, 2003
EQUITY SERVICES, INC.
June 16, 1998 - January 5, 2000
PRUCO SECURITIES, LLC.
February 12, 1996 - June 5, 1998
NYLIFE SECURITIES LLC
October 23, 1990 - January 17, 1996
TRIQUEST FINANCIAL, INC.
October 30, 1989 - October 19, 1990
CITIGROUP GLOBAL MARKETS INC.
June 9, 1988 - November 16, 1989
KIDDER, PEABODY & CO. INCORPORATED
October 23, 1985 - June 17, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/23/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
