Lisa M. Gabriel

PINAFORE WEALTH COUNSEL

Durham, NC 27707

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CRD#: 1528723

Professional summary

Lisa Marie Gabriel, CFP®, ChFC®, who also goes by Lisa Marie Watkins, is a registered financial advisor currently at PINAFORE WEALTH COUNSEL INC. located in Durham, North Carolina.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Lisa has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Marie Watkins

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.

1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES 2)DUKE UNIVERSITY - OSHER LIFELONG LEARNING INSTITUTE, BOARD MEMBER AND OCCARSSIONALLY TEACHES CLASS ON FINANCIAL/RETIERMENT/LEGACY PLANNING. 3)PINAFORE PROPERTIES, LLC, 3235 PINAFORE DR, DURHAM, NC 27705. BEGAN 10/2012 AS MANAGING MEMBER- SELF DIRECTED IRA ROLLOVER TO PURCHASE RESIDENTIAL RENTAL HOMES. DEVOTES 2 HR/YR- NONE DURING TRADING. 4)COLONY RENTAL, LLC, 3235 PINAFORE DR, DURHAM, NC 27705. BEGAN 3/2019 AS OWNER - HOLDS RENTAL PROPERTY. DEVOTES 2 HR/YR- NONE DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Gabriel'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®

CFP^®

Certified Financial Planner

Start date: 2009

ChFC^®

Chartered Financial Consultant

Experience

Current

October 10, 2014 - Present

PINAFORE WEALTH COUNSEL INC.

Office #1: 3622 Lyckan Pkwy Ste 3004, Durham, NC 27707

RIA

CRD#: 170540

Durham, NC

Past

June 19, 2012 - October 10, 2014

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

DURHAM, NC

Past

June 19, 2012 - October 10, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

DURHAM, NC

Past

November 14, 2011 - June 19, 2012

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

DURHAM, NC

Past

November 14, 2011 - June 19, 2012

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

DURHAM, NC

Past

February 15, 2011 - November 3, 2011

KAVAR CAPITAL PARTNERS, LLC

RIA

CRD#: 155805

DURHAM, NC

Past

May 23, 2008 - January 11, 2011

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST. LOUIS, MO

Past

February 25, 2004 - May 21, 2008

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST. LOUIS, MO

Past

January 29, 2004 - January 11, 2011

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. LOUIS, MO

Past

August 13, 1986 - November 21, 1991

J. LEE PEELER & COMPANY, INC.

CRD#: 2999

DURHAM, NC

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".

PINAFORE WEALTH COUNSEL INC.

COMPASSIONATE ADVISOR LLC | PINAFORE WEALTH COUNSEL, INC. | PINAFORE WEALTH COUNSEL INC.

CRD#: 170540 / SEC#: 801-130577

RIA

Registered Investment Advisory firm - (7/1/2024 Approved)

Florida

Registered Investment Advisory firm - (7/16/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/26/2021 Terminated)

Missouri

Registered Investment Advisory firm - (7/16/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (7/31/2024 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

Florida
(8/10/2021)

IAR

Louisiana
(10/15/2014)

IAR

Missouri
(3/15/2017)

IAR

North Carolina
(10/10/2014)

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: 2/24/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2005

General Securities Principal Examination

Current Firm

PINAFORE WEALTH COUNSEL INC.

COMPASSIONATE ADVISOR LLC | PINAFORE WEALTH COUNSEL, INC. | PINAFORE WEALTH COUNSEL INC.

CRD#: 170540 / SEC#: 801-130577

RIA

Registered Investment Advisory firm - (7/1/2024 Approved)

Florida

Registered Investment Advisory firm - (7/16/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/26/2021 Terminated)

Missouri

Registered Investment Advisory firm - (7/16/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (7/31/2024 Terminated)

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Contact information

Main Address

3622 Lyckan Pkwy Ste 3004, Durham, NC 27707

Mailing Address

Phone number

(919) 213-0458

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINAFORE WEALTH COUNSEL INC. ADV BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	307
AUM (Assets Under Management)	$ 132,767,709

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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Advisor Monitoring

Firm Stability Insights

Lisa M. Gabriel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Gabriel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

KAVAR CAPITAL PARTNERS, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

J. LEE PEELER & COMPANY, INC.

Primary Firm SEC Registration

PINAFORE WEALTH COUNSEL INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/24/2004

Series 65

Date: 9/22/1997

Series 63

Date: 8/12/1986

SIE

Date: 10/10/2014

Series 7

Date: 1/28/2004

Series 24

Date: 5/27/2005

Current Firm

PINAFORE WEALTH COUNSEL INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINAFORE WEALTH COUNSEL INC.

TRUST BUT VERIFY

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