Jeffrey P. Gubala
Professional summary
Being a previously registered professional could mean that this person 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.
Jeffrey Paul Gubala was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2019 - April 6, 2022
INTERNATIONAL ASSETS ADVISORY, LLC
August 19, 2015 - November 12, 2019
WESTWOOD MANAGEMENT CORP
February 20, 2013 - September 18, 2019
FORESIDE FUND SERVICES, LLC
May 1, 2010 - January 31, 2013
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - January 31, 2013
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 3, 2006 - May 1, 2010
BOFA ADVISORS, LLC
March 30, 2000 - May 1, 2010
BOFA DISTRIBUTORS, INC.
October 11, 1994 - January 28, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
November 30, 1993 - September 12, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
January 27, 1992 - November 30, 1993
UVEST BROKERAGE SERVICES
January 24, 1990 - January 22, 1992
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
