Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Gabel is a financial advisor with over 30 years of experience in the industry. Thomas is currently registered with Canaccord Genuity LLC and has been with them since 2003. Prior to that, Thomas worked for Wachovia Securities, LLC and Dain Rauscher Incorporated. Thomas holds a number of licenses and designations including Series 7, 9, 10, 24, 63, 79, 99TO, and SIE. Thomas Gabel is registered in 51 states and is dedicated to providing sound financial advice to his clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
MA
11/25/2003 - Present
Canaccord Genuity LLC (BOSTON MA)
NY
03/26/2012 - 09/26/2012
CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)
NC
07/01/2003 - 12/11/2003
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/26/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
03/02/1998 - 02/19/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
06/12/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
09/04/1990 - 06/14/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
07/16/1987 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
NA
10/22/1986 - 09/21/1987
ROULSTON RESEARCH CORP.
BC
Issued 08/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/22/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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