Thomas Edward Gabel
Professional Summary
Thomas Edward Gabel, who also goes by Thomas E Gabel, is a registered financial advisor currently at CANACCORD GENUITY LLC located in Marblehead, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas E Gabel
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Videos & Posts
This advisor has not added any videos or posts yet.
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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.
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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Years of Experience
40 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
Contact Information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Mailing Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Phone Number
(212) 389-8000Established
Delaware since 02/26/2004Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | — |
| DAVIAU, DANIEL JOSEPH | CHIEF EXECUTIVE OFFICER, PRESIDENT | 6096472 |
| 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 |
| ROMAINE, JUDITH | CHIEF COMPLIANCE OFFICER | 6115619 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL | — |
Disclosures
Regulatory Event
48Bond
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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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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2015About the Series 79 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1994SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Gabel's CRS (Customer Relationship Summary).
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