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JG

James A. Gabriele

Some features on this profile are disabled
CRD#: 2694460
JG

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 Andrew Gabriele, who also goes by James A Gabriele, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 12 firms and has passed the Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Gabriele

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

April 12, 2007 - September 17, 2008

IMC FINANCIAL MARKETS

BD
CRD#: 104143
CHICAGO, IL
Past

February 27, 2007 - October 17, 2012

QUIET LIGHT SECURITIES, LLC

BD
CRD#: 35870
CHICAGO, IL
Past

July 24, 2006 - January 30, 2007

LUPO SECURITIES, LLC

BD
CRD#: 43761
CHICAGO, IL
Past

July 19, 2006 - January 30, 2007

HORATIO CAPITAL LLC

BD
CRD#: 132142
CHICAGO, IL
Past

July 19, 2006 - April 28, 2011

VINTAGE CAPITAL LLC

BD
CRD#: 128717
CHICAGO, IL
Past

March 7, 2006 - July 13, 2006

WDG TRADING, LLC

BD
CRD#: 135772
CHICAGO, IL
Past

June 16, 2005 - March 29, 2006

HARRISON TRADING GROUP, LLC

BD
CRD#: 40287
CHICAGO, IL
Past

April 29, 2005 - May 18, 2006

BOTTA SPECIALIST, LLC

BD
CRD#: 102760
CHICAGO, IL
Past

November 11, 2003 - January 28, 2004

NANTUCKET SECURITIES COMPANY, LLC

BD
CRD#: 112318
BLOOMFIELD HILLS, MI
Past

May 2, 2003 - August 26, 2003

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
CHICAGO, IL
Past

April 3, 2003 - April 12, 2006

SAEN OPTIONS USA INC.

BD
CRD#: 103752
CHICAGO, IL
Past

August 25, 2000 - April 25, 2002

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY

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.

Exams

General Industry/Product Exam
RR
Series 7
Date: 6/6/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/31/2000
Financial and Operations Principal Examination

Current Firm

IF
IMC FINANCIAL MARKETS
HOLLAND TRADING HOUSE LLC | IMC-CHICAGO, LLC | IMC FINANCIAL MARKETS

CRD#: 104143 / SEC#: , 8-52600

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
233 South Wacker Drive #4300, Chicago, IL 60606
Mailing Address
233 South Wacker Drive #4300, Chicago, IL 60606
Phone number
(312) 244-3300
Established
Illinois since 04/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IMC AMERICAS, INC.MEMBER
DOWNEY, JASON EDWARDCCO6080734
HANSEN, CHRISTINE ECEO5679799
HOFFMAN, ADAM MICHAELCOO5579229
NOWICKI, PAULFINOP, CFO, PFO, POO6097424

Disclosures

Regulatory Event35

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.

Company Information

IMC FINANCIAL MARKETS

CRD#: 104143

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