Gabriel A. Pincus

GA PINCUS FUNDS

BRENTWOOD, TN

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CRD#: 5040736

Professional summary

Gabriel Alexander Pincus is a registered financial advisor currently at GA PINCUS FUNDS, LLC located in Brentwood, Tennessee.

Gabriel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Gabriel has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Gabriel Alexander Pincus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 18, 2015 - Present

GA PINCUS FUNDS, LLC

RIA

CRD#: 281844

BRENTWOOD, TN

Past

June 2, 2006 - February 22, 2007

J.P. MORGAN CLEARING CORP.

CRD#: 28432

NEW YORK, NY

Past

June 2, 2006 - January 24, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/5/2017)

IAR

New York
(6/20/2021)

IAR

Tennessee
(9/19/2019)

IAR

Texas
(11/18/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/17/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 11/6/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/1/2006

General Securities Representative Examination

Current Firm

GA PINCUS FUNDS, LLC

CRD#: 281844 / SEC#: 801-132022

RIA

Registered Investment Advisory firm - (8/25/2025 Terminated)

Illinois

Registered Investment Advisory firm - (6/5/2017 Approved)

New York

Registered Investment Advisory firm - (3/24/2017 Approved)

Tennessee

Registered Investment Advisory firm - (9/19/2019 Approved)

Texas

Registered Investment Advisory firm - (11/18/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Brentwood, TN

Mailing Address

Phone number

(917) 597-1450

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	160
AUM (Assets Under Management)	$ 60,013,642

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.

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Gabriel A. Pincus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriel Alexander Pincus's CRS (Customer Relationship Summary).

Certified licenses

Experience

GA PINCUS FUNDS, LLC

J.P. MORGAN CLEARING CORP.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/2015

Series 63

Date: 7/25/2006

Series 55

Date: 11/6/2006

Series 7

Date: 6/1/2006

Current Firm

GA PINCUS FUNDS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GA PINCUS FUNDS, LLC

TRUST BUT VERIFY

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