Kurtis L. Gabrielse
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.
Kurtis L Gabrielse, who also goes by Kurtis Lee Gabriclse, Kurt Gabrielse, Kurtis Lee Gabrielse, was a registered financial professional .
Kurtis is a previously registered financial professional and started their career in finance in 1993. Kurtis had worked at 10 firms and has passed the 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
November 10, 2016 - January 17, 2019
UNION CAPITAL COMPANY
March 13, 2012 - March 24, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
April 21, 2010 - November 30, 2011
AUSDAL FINANCIAL PARTNERS, INC.
April 20, 2010 - November 30, 2011
AUSDAL FINANCIAL PARTNERS, INC.
September 8, 2009 - October 30, 2009
LPL FINANCIAL LLC
September 8, 2009 - October 30, 2009
LPL FINANCIAL LLC
October 22, 2008 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
January 7, 2008 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
December 15, 2006 - December 11, 2007
SECURITIES AMERICA, INC.
December 10, 2004 - December 19, 2006
COMMONWEALTH FINANCIAL NETWORK
July 16, 2002 - December 19, 2006
COMMONWEALTH FINANCIAL NETWORK
January 2, 1998 - June 28, 2002
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
July 6, 1995 - January 1, 1998
AEGON USA SECURITIES INC.
August 8, 1994 - May 10, 1995
LPL FINANCIAL LLC
December 8, 1993 - August 9, 1994
LEXINGTON SECURITIES, INC.
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 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.
