GREAT GABLE ADVISORS, LLC of BEVERLY HILLS, CA is an SEC-registered investment adviser (CRD 297501). Regulatory assets under management: $220.5M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Amir Nmn Navab | WEALTH MANAGER | — |
| Jacques Alain Soenens | CCO, CEO AND MANAGING MEMBER; MANAGING MEMBER | — |
| SOENENS JACQUES A | CCO; MEMBER | — |
| SOENENS JACQUES ALAIN | CCO; CCO, CEO AND MANAGING MEMBER; MANAGING MEMBER (+1 more) | — |
| NAVAB AMIR NMN | MANAGING MEMBER; WEALTH MANAGER | — |
| NAVAB AMIR | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-02-10 | regulatory | FAILED TO COMPLY WITH AN ARBITRATION AWARD OR SETTLEMENT AGREEMENT OR TO SATISFACTORILY RESPOND TO A FINRA REQUEST TO PROVIDE INFORMATION CONCERNING THE STATUS OF COMPLIANCE. | Final | — |
| 2013-09-16 | regulatory | CLAIMANTS ALLEGE UNSUITABILITY AND OMISSIONS IN CONNECTION WITH THE PURCHASE OF STRUCTURED PRODUCTS AT UBS AND IN A 401(K) ACCOUNT | Final | $258K |
| City | State | Employees | Phone |
|---|---|---|---|
| SAN FRANCISCO | CA | 0 | 415-986-1116 |
| SAN FRANCISCO | CA | 0 | 415-986-1116 |