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Gabe Tomas Luna

Luna Investment Services Inc.

Denver, CO

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Current Employers
Luna Investment Services Inc.

Denver, CO • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2017-02-13
  • CO RA
    APPROVED
    Since 2017-02-13

Branch Locations

Denver, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc Denver CO 08/2011 Present
Luna Investment Services Inc. Denver CO 01/2012 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-10-13
S65 Uniform Investment Adviser Law Examination 2010-09-29
  • S63 Uniform Securities Agent State Law Examination
    2011-10-13
  • S65 Uniform Investment Adviser Law Examination
    2010-09-29
Other Names
  • Gabe Thomas Luna

View on SEC IAPD

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