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Michael Anthony Gabriele

CRD# 4817001·Registered 2008 - 2013
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Anthony Gabriele, who also goes by Michael A Gabriele, Michael A. Gabriele, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2008 - 2013. Michael had worked at 4 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael A Gabriele, Michael A. Gabriele

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

18 years in the financial services industry

Current & Past Employments

JAVELIN SECURITIES, LLC·CRD# 107473
BD
New York, NY
January 23, 2013 - June 7, 2013
CANTOR FITZGERALD & CO.·CRD# 134
BD
New York, NY
September 14, 2009 - August 8, 2012
BGC FINANCIAL, L.P.·CRD# 19801
BD
New York, NY
December 4, 2008 - September 14, 2009
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Woodbury, NY
February 25, 2008 - May 15, 2008
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
Woodbury, NY
January 1, 2008 - May 15, 2008

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Current Firm

JS
JAVELIN SECURITIES, LLC

AGP DERIVATIVES CORP. | SEEKINGCAPITAL SECURITIES CORP. | OVERMYER SECURITIES LLC | JAVELIN SECURITIES, LLC | IDX DERIVATIVES, LLC

CRD#: 107473 / SEC#: 8-53043
BD
Terminated by SEC on 03/31/2024

Contact Information

Established

Delaware since 11/23/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
OZONE CAPITAL MARKETS LLCSOLE MEMBER—
MCELWREATH, EDWARD THOMASREGISTERED PRINCIPAL1111324
POLLOCK, MARTIN JAYFINOP - PRIMARY1067521
SULLIVAN, JOHN WALLACECCO, DESIGNATED PRINCIPAL, AML PRINCIPAL2417280

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2008About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Dec 2007About the Series 7 exam

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CRS (Client Relationship Summary)

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

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