Alex S. Gabor & Associates Investment Advisors – Unregistered Investment Adviser

Date Posted: 
Friday, December 16, 2016

It has come to the attention of the Washington State Department of Financial Institutions' Securities Division that a purported entity called Alex S. Gabor & Associates Investment Advisors has been holding itself out to the public as an investment adviser.

Alex S. Gabor & Associates Investment Advisors is not licensed by the Securities Division as a broker-dealer or investment adviser, as required by the Securities Act of Washington, Ch. 21.20 RCW.

In addition, there is no indication that it is authorized to do business in Washington State.

The Washington State Department of Financial Institutions warns consumers that before doing business with a broker-dealer or investment adviser, they should verify that the company or individual is properly licensed.

Verify a license at FINRA’s BrokerCheck at http://brokercheck.finra.org. If you suspect a company or individual is engaging in securities fraud, please contact DFI at 1-877-RING-DFI or visit www.dfi.wa.gov to file a complaint.