Spencer L. Gabriel

SYMPHONY FINANCIAL SERVICES

Akron, OH 44333

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CRD#: 1987809

Professional summary

Spencer Lee Gabriel is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.

Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Spencer has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) 01/06/2010 - SYMPHONY FINANCIAL SERVICES, INC. - REGISTERED INVESTMENT ADVISOR - (HYBRID) SYMPHONY FINANCIAL SERVICES, INC. - (HYBRID RIA) MANAGING ASSETS FOR A FEE. - 90% OF TIME SPENT - AKRON, OH (2) 08/20/2013 - DBA ONLY - SYMPHONY FINANCIAL SERVICES, INC. - AKRON, OH (3) 11/01/2023 - Ash Brokerage - Non-Variable Insurance - Registered Representative; Independent Agent; Fiduciary - Investment Related - At Reported Business Location(s) - Start Date 11/2023 - 2 Hours Per Month/ During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Lee 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®

None

Experience

Current

January 19, 2010 - Present

SYMPHONY FINANCIAL SERVICES, INC.

Office #1: 4100 Embassy Parkway Suite 100, Akron, OH 44333

RIA

CRD#: 125058

Akron, OH

Current

October 23, 2009 - Present

LPL FINANCIAL LLC

Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783

RIA

CRD#: 6413

Akron, OH

Past

June 1, 2009 - November 16, 2009

MORGAN STANLEY

RIA

CRD#: 149777

AKRON, OH

Past

June 1, 2009 - November 16, 2009

MORGAN STANLEY

CRD#: 149777

AKRON, OH

Past

January 17, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

AKRON, OH

Past

November 3, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

AKRON, OH

Past

May 3, 1995 - November 17, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 23, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 23, 1989 - November 23, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 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.

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

California
(11/30/2012)

Colorado
(10/8/2024)

Georgia
(10/23/2009)

IAR

Georgia
(4/13/2012)

Illinois
(1/31/2020)

Massachusetts
(1/17/2024)

Michigan
(11/2/2012)

North Carolina
(10/23/2009)

Ohio
(10/23/2009)

IAR

Ohio
(1/19/2010)

South Carolina
(3/4/2011)

Tennessee
(1/18/2024)

Texas
(10/23/2009)

Virginia
(10/19/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/23/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

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Contact information

Main Address

4100 Embassy Parkway Suite 100, Akron, OH 44333

Mailing Address

Phone number

(330) 434-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,254
AUM (Assets Under Management)	$ 376,086,940

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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Spencer L. Gabriel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Lee Gabriel's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SYMPHONY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/1995

Series 63

Date: 5/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/2/1995

Series 6

Date: 10/20/1989

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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