Richard R. Gabbei

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CRD#: 2346237

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.

Richard Roger Gabbei, who also goes by Rich Gabbei, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich Gabbei

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2009 - February 5, 2015

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

FARMINGTON HILLS, MI

Past

September 18, 2008 - November 27, 2009

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

FARMINGTON HILLS, MI

Past

November 30, 2005 - January 30, 2015

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

FARMINGTON HILLS, MI

Past

December 2, 2002 - August 15, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

August 22, 2000 - November 15, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 24, 1999 - June 26, 2000

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

July 25, 1997 - July 22, 1999

CUSTODIAN SECURITIES, INC.

CRD#: 30370

WAYNE, PA

Past

August 9, 1995 - May 2, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 14, 1994 - August 5, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/1997

General Securities Principal Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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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Advisor Monitoring

Firm Stability Insights

Richard R. Gabbei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

UST SECURITIES CORP.

CUSTODIAN SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2001

Series 63

Date: 2/10/1994

SIE

Date: 1/30/2015

Series 7

Date: 1/13/1994

Series 24

Date: 10/6/1997

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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