Gabriele C. Finnegan
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.
Gabriele Cam Finnegan, who also goes by Gabby Finnegan, Gabriele Cam Neese, Gabrielle Cam Neese, was a registered financial professional .
Gabriele is a previously registered financial professional and started their career in finance in 2006. Gabriele had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2020 - February 19, 2021
KERBERROSE WEALTH MANAGEMENT, LLC
February 7, 2020 - February 19, 2021
APW CAPITAL, INC.
February 14, 2018 - June 6, 2019
LPL FINANCIAL LLC
April 13, 2017 - February 14, 2018
SII INVESTMENTS, INC.
June 5, 2012 - April 12, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
November 10, 2006 - August 13, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
KERBERROSE WEALTH MANAGEMENT, LLC
CRD#: 168787 / SEC#: 801-119492
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
Current Firm
KERBERROSE WEALTH MANAGEMENT, LLC
CRD#: 168787 / SEC#: 801-119492
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,345 |
| AUM (Assets Under Management) | $ 1,155,164,256 |
Red Flags
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