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Adam Gregory Saubel

Adam G. Saubel

SAUBEL FINANCIAL GROUP
York, PA
Some features on this profile are disabled
CRD#: 6752249
Adam Gregory Saubel

Professional summary

Adam Gregory Saubel, CFP®, ChFC®, CLU®, who also goes by Adam Saubel, is a registered financial advisor currently at SAUBEL FINANCIAL GROUP located in York, Pennsylvania.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Adam has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Adam Saubel

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 Adam Gregory Saubel'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®
CFP®

Certified Financial Planner

Start date: 2019

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

April 29, 2024 - Present

SAUBEL FINANCIAL GROUP

RIA
CRD#: 330604
York, PA
Past

March 5, 2018 - February 16, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LANCASTER, PA

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
New Jersey
(8/20/2024)
IAR
Pennsylvania
(4/29/2024)
IAR
Texas
(6/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/28/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2018
General Securities Representative Examination

Current Firm

SF
SAUBEL FINANCIAL GROUP
SAUBEL FINANCIAL GROUP | SAUBEL FINANCIAL GROUP LLC

CRD#: 330604 / SEC#:

New Jersey
Registered Investment Advisory firm - (8/20/2024 Approved)
Pennsylvania
Registered Investment Advisory firm - (4/29/2024 Approved)
Texas
Registered Investment Advisory firm - (5/9/2024 Conditional Restricted)
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Contact information

Main Address
York, PA
Mailing Address
Po Box 60, York, PA 17407
Phone number
(717) 216-0033
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts210
AUM (Assets Under Management)$ 13,348,322

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

SAUBEL FINANCIAL GROUP

CRD#: 330604York, PA

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