Gale L. Fairbrother
Professional summary
Gale Lynne Fairbrother was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gale is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gale had worked at 4 firms, which includes CANTELLA & CO. INC., BA INVESTMENT SERVICES INC., NYLIFE SECURITIES LLC, WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1997 - November 12, 1997
CANTELLA & CO., INC.
October 26, 1995 - September 16, 1997
BA INVESTMENT SERVICES, INC.
September 26, 1994 - October 27, 1995
NYLIFE SECURITIES LLC
August 15, 1994 - August 30, 1994
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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