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JG

John Victor Gabriel

CRD# 1672914·Registered 1997 - 2013
Previously Registered: Being a previously registered professional could mean that John is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

John Victor Gabriel, who also goes by John Gabriel, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1997 - 2013. John had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Gabriel

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

39 years in the financial services industry

Current & Past Employments

Past

FOX FINANCIAL MANAGEMENT CORPORATIONPast·CRD# 134277
BD
Carrollton, TX
March 15, 2013 - November 14, 2013
OSAIC FS, INC.Past·CRD# 3870
RIA
Ipswich, MA
June 15, 2011 - October 26, 2011
OSAIC FS, INC.Past·CRD# 3870
BD
Fort Wayne, IN
June 7, 2011 - October 26, 2011
CITIZENS SECURITIES, INC.Past·CRD# 39550
RIA
Amesbury, MA
June 11, 2008 - January 13, 2011
CITIZENS SECURITIES, INC.Past·CRD# 39550
BD
Amesbury, MA
June 5, 2008 - January 13, 2011
FOX WEALTH ADVISORS LLCPast·CRD# 142012
RIA
Carrollton, TX
February 20, 2007 - May 29, 2008
FOX FINANCIAL MANAGEMENT CORPORATIONPast·CRD# 134277
BD
Carrollton, TX
August 11, 2006 - May 29, 2008
GREAT EASTERN SECURITIES, INC.Past·CRD# 2061
BD
New York, NY
June 10, 2005 - February 14, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.Past·CRD# 16361
RIA
Poughkeepsie, NY
October 20, 2004 - April 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.Past·CRD# 16361
BD
Boston, MA
October 20, 2004 - April 19, 2005
QUICK & REILLY, INC.Past·CRD# 11217
RIA
Albany, NY
June 23, 2004 - October 20, 2004
QUICK & REILLY, INC.Past·CRD# 11217
BD
New York, NY
February 25, 2003 - October 20, 2004
FEDERATED SECURITIES CORP.Past·CRD# 5009
BD
Pittsburgh, PA
December 14, 2000 - March 13, 2003
NATIONAL CLEARING CORP.Past·CRD# 14343
BD
Sherman Oaks, CA
October 17, 1997 - November 30, 2000
W.J. NOLAN & COMPANY, INC.Past·CRD# 16465
BD
New York, NY
July 2, 1997 - October 23, 1997
NATIONAL CLEARING CORP.Past·CRD# 14343
BD
Sherman Oaks, CA
March 19, 1997 - June 6, 1997

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Current Firm

FF
FOX FINANCIAL MANAGEMENT CORPORATION

FOX FINANCIAL MANAGEMENT CORPORATION

CRD#: 134277 / SEC#: 8-66827
BD
Terminated by SEC on 02/22/2014

Contact Information

Established

Texas since 04/22/1997

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ROONEY, JAMES EDWARD JRPRESIDENT1857754
MURPHY, BRIAN ANDREWCHIEF COMPLIANCE OFFICER4743164

Disclosures

Regulatory Event

6

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1997About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Apr 1987About the Series 3 exam

Series 4 — Registered Options Principal Examination

Passed Nov 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jul 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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