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GL

Gabe T. Luna

LUNA INVESTMENT SERVICES
Denver, CO
Some features on this profile are disabled
CRD#: 5866773
GL

Professional summary

Gabe Tomas Luna, who also goes by Gabe Thomas Luna, is a registered financial advisor currently at LUNA INVESTMENT SERVICES INC. located in Denver, Colorado.

Gabe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Gabe has worked at 2 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gabe Thomas Luna

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 Gabe Tomas Luna's 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

February 13, 2017 - Present

LUNA INVESTMENT SERVICES INC.

RIA
CRD#: 113474
Denver, CO
Past

August 11, 2011 - March 14, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
DENVER, CO
Past

February 8, 2011 - December 31, 2016

LUNA INVESTMENT SERVICES INC.

RIA
CRD#: 113474
DENVER, CO

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
Colorado
(2/13/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/29/2010
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2011
General Securities Representative Examination

Current Firm

LI
LUNA INVESTMENT SERVICES INC.
LUNA INVESTMENT SERVICES INC. | RICHARD LUNA

CRD#: 113474 / SEC#:

Colorado
Registered Investment Advisory firm - (6/16/2000 Approved)
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Contact information

Main Address
Denver, CO
Mailing Address
Phone number
(303) 887-1172
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts28
AUM (Assets Under Management)$ 6,732,306

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

LUNA INVESTMENT SERVICES INC.

CRD#: 113474Denver, CO

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