Richard Gaba is a registered investment advisor, based in Pompton Plains, NJ, with 29 years of industry experience.
Location
Pompton Plains, NJ
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Richard uses GABA Financial Services as a DBA name for his investment practice.
Employment History
Current Registrations
Cetera Financial Specialists LLCBroker
October 2005 - Present · 20 yrs 7 mos
Cetera Investment Advisers LLC
October 2005 - Present · 20 yrs 7 mos
Previous Registrations
C.J.M. Asset Management, LLC
August 2002 - October 2005 · 3 yrs 2 mos
C. J. M. Planning CORP.Broker
August 1996 - October 2005 · 9 yrs 2 mos
John Hancock Mutual Life Insurance CompanyBroker
April 1996 - June 1996 · 2 mos
John Hancock Distributors, INC.Broker
April 1996 - June 1996 · 2 mos
State Registrations9 states
ALAZFLNJNYPASCTNVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.