Joseph W. Gabor
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.
Joseph William Gabor, who also goes by Joe Gabor, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2012 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
January 8, 2010 - September 19, 2012
MILLER TABAK + CO., LLC
March 3, 2003 - December 23, 2009
CANTOR FITZGERALD & CO.
October 16, 2000 - March 7, 2003
LEHMAN BROTHERS INC.
October 10, 2000 - January 9, 2001
CREDIT SUISSE SECURITIES (USA) LLC
August 31, 2000 - October 10, 2000
PERSHING LLC
July 1, 1998 - August 25, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
November 11, 1997 - March 10, 1998
CATHAY FINANCIAL INC
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: 10/27/1998
Limited Representative-Equity Trader ExamCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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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