Matthew R. 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.
Matthew Richard Gabel MR, who also goes by Matthew Richard Gabel, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1991. Matthew had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2015 - March 18, 2016
CHATSWORTH SECURITIES LLC
July 22, 2013 - January 12, 2015
AVIATE GLOBAL (US) LLP
February 25, 2011 - June 19, 2012
KOYOTE TRADING LLC
September 24, 2009 - December 6, 2012
GABEL ASSET MANAGEMENT CORP.
February 25, 2008 - June 22, 2009
SCHOTTENFELD GROUP LLC
May 28, 1996 - September 6, 1996
J.P. MORGAN SECURITIES LLC
December 11, 1991 - March 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 9/27/2007
Limited Representative-Equity Trader ExamCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
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.
