Mark D. Gabriel
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.
Mark Daniel Gabriel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1978. Mark had worked at 22 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2022 - July 7, 2022
FINALIS SECURITIES LLC
October 5, 2016 - January 23, 2018
DREXEL HAMILTON, LLC
July 28, 2014 - August 8, 2016
ACADEMY SECURITIES, INC.
July 7, 2005 - July 25, 2014
INTE SECURITIES LLC
June 20, 2003 - January 3, 2005
CAROLINA CAPITAL MARKETS, INC.
September 21, 2001 - November 8, 2002
COASTAL SECURITIES, INC.
October 28, 1998 - September 27, 1999
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 1, 1997 - February 27, 1998
INTERVEST FINANCIAL SERVICES, INC.
September 23, 1996 - December 31, 1996
RODMAN & RENSHAW INC.
December 1, 1995 - April 17, 1996
WACHOVIA SECURITIES, INC.
February 6, 1995 - October 26, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
November 16, 1993 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 26, 1991 - July 9, 1993
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
February 1, 1991 - June 26, 1991
SCHRODER & CO. INC.
July 26, 1990 - February 21, 1991
SANDLER, O'NEILL & PARTNERS, L.P.
May 18, 1990 - June 6, 1990
J.P. MORGAN SECURITIES LLC
April 6, 1989 - March 19, 1990
UBS SECURITIES LLC
February 21, 1984 - April 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1983 - March 1, 1984
BECKER PARIBAS INCORPORATED
September 29, 1981 - August 22, 1983
LEHMAN BROTHERS INC.
September 21, 1979 - October 21, 1981
CITIGROUP GLOBAL MARKETS INC.
September 25, 1978 - October 21, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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