James A. Gabel
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.
James Allen Gabel, who also goes by Jim Gabel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2006 - April 2, 2012
SUNSET FINANCIAL SERVICES, INC.
May 14, 1991 - April 28, 2006
WOODBURY FINANCIAL SERVICES, INC.
August 19, 1988 - June 17, 1991
OSAIC FS, INC.
June 4, 1984 - August 27, 1988
CONSOLIDATED INVESTMENT SERVICES, INC.
May 12, 1978 - August 7, 1984
WOODBURY FINANCIAL SERVICES, INC.
October 7, 1975 - November 4, 1976
WORLD CAPITAL BROKERAGE, INC.
November 8, 1972 - April 3, 1984
TOWER SQUARE SECURITIES, INC.
April 1, 1971 - November 27, 1972
OPPENHEIMER ASSET MANAGEMENT CORPORATION
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
Series 1
Date: 3/24/1971
Registered Representative ExaminationCurrent Firm
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| 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.
