TG
Thomas E. Gabel
CANACCORD GENUITY LLC
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 1573453
TG
Professional summary
Thomas Edward Gabel, who also goes by Thomas E Gabel, is a registered financial professional currently at CANACCORD GENUITY LLC located in Boston, Massachusetts.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 24, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas E Gabel
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Gabel's 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®
NoneExperience
Current
November 25, 2003 - Present
CANACCORD GENUITY LLC
Office #1: 1 Post Office Square 30th Floor, Boston, MA 02109BD
CRD#: 1020
BOSTON, MA
Past
March 26, 2012 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
July 1, 2003 - December 11, 2003
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 26, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
March 2, 1998 - February 19, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 12, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 4, 1990 - June 14, 1994
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 16, 1987 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
October 22, 1986 - September 21, 1987
ROULSTON RESEARCH CORP.
BD
CRD#: 3235
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/6/2012)
RR
Alaska(2/6/2012)
RR
Arizona(2/6/2012)
RR
Arkansas(6/2/2009)
RR
California(2/6/2012)
RR
Colorado(2/6/2012)
RR
Connecticut(2/6/2012)
RR
Delaware(2/6/2012)
RR
District of Columbia(2/6/2012)
RR
Florida(2/6/2012)
RR
Georgia(2/6/2012)
RR
Hawaii(2/6/2012)
RR
Idaho(2/6/2012)
RR
Illinois(2/6/2012)
RR
Indiana(2/6/2012)
RR
Iowa(2/6/2012)
RR
Kansas(2/6/2012)
RR
Kentucky(2/6/2012)
RR
Louisiana(2/6/2012)
RR
Maine(2/6/2012)
RR
Maryland(2/6/2012)
RR
Massachusetts(11/25/2003)
RR
Michigan(2/6/2012)
RR
Minnesota(2/6/2012)
RR
Mississippi(2/6/2012)
RR
Missouri(2/6/2012)
RR
Montana(2/6/2012)
RR
Nebraska(2/6/2012)
RR
Nevada(2/6/2012)
RR
New Hampshire(2/6/2012)
RR
New Jersey(2/6/2012)
RR
New Mexico(2/6/2012)
RR
New York(11/25/2003)
RR
North Carolina(2/6/2012)
RR
North Dakota(2/6/2012)
RR
Ohio(2/6/2012)
RR
Oklahoma(2/6/2012)
RR
Oregon(2/6/2012)
RR
Pennsylvania(2/6/2012)
RR
Rhode Island(2/6/2012)
RR
South Carolina(2/6/2012)
RR
South Dakota(2/6/2012)
RR
Tennessee(2/6/2012)
RR
Texas(6/29/2009)
RR
Utah(2/6/2012)
RR
Vermont(2/6/2012)
RR
Virginia(2/6/2012)
RR
Washington(2/6/2012)
RR
West Virginia(2/6/2012)
RR
Wisconsin(2/6/2012)
RR
Wyoming(2/6/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CG
CANACCORD GENUITY LLC
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
CRD#: 1020 / SEC#: , 8-3271
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119
Mailing Address
1 Post Office Square, Boston, MA 02109
Phone number
(212) 389-8000
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CANACCORD GENUITY LLC
CRD#: 1020Boston, MA 02109TRUST BUT VERIFY
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