AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

James Gaberkorn

Some features on this profile are disabled
CRD#: 1718031
JG

Professional summary

James Gaberkorn was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, James had worked at 6 firms, which includes HORNBLOWER & WEEKS INC., HOBBS MELVILLE SECURITIES CORP., GLOBAL EQUITIES GROUP INC, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., J.P. MORGAN SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gennady Gaberkorn

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 11, 1998 - July 6, 1998

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

December 19, 1997 - March 18, 1998

HOBBS MELVILLE SECURITIES CORP.

BD
CRD#: 40133
NEW YORK, NY
Past

September 18, 1996 - January 6, 1998

GLOBAL EQUITIES GROUP INC

BD
CRD#: 34039
NEW YORK, NY
Past

November 1, 1994 - September 19, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 7, 1990 - October 25, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 11, 1989 - May 21, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination

Current Firm

H&
HORNBLOWER & WEEKS, INC.
BAKER WEEKS, INC. | HORNBLOWER & WEEKS, INC. | FREUNDLICH-LUBECK COMPANY | EC/AMERICAN SECURITIES CORP.

CRD#: 4683 / SEC#: , 8-16493

BD
Terminated by SEC on 12/21/2002
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 01/14/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HORNBLOWER & WEEKS FINANCIAL CORPORATIONPARENT
ELLENHORN, ERIC LEECOMPLIANCE OFFICER2199395
ELLENHORN, ERIC LEEGSP, VP, CEO,
LUBITZ, JACKFINOP1566639
ROONEY, JOHN RYANGSP, PRESIDENT.2511607

Disclosures

Regulatory Event15
Arbitration6

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.

Company Information

HORNBLOWER & WEEKS, INC.

CRD#: 4683

TRUST BUT VERIFY

Monitor James Gaberkorn

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.