Lisa Gabriel has been President / CCO of Pinafore Wealth Counsel since September 2014, is a control person of the firm and directly owns 75% or more of it.
Pinafore Wealth Counsel Inc. is a Durham, NC firm with $174M under management, 105 clients and 2 advisers across 2 offices, as of its February 2026 filing.
Lisa Gabriel is President & CEO of Pinafore Wealth Counsel. Her experience includes 20+ years as an institutional investor, including at Duke Management Company and Oak Value Capital Management, before she returned to advising families and individuals. She is a frequent speaker on Tax Smart Retirement Strategies, Legacy Planning, and Wealth Building for Women.
Lisa Gabriel’s longest registration is the current one, 12 years at Pinafore Wealth Counsel since 2014. Before joining Pinafore Wealth Counsel in 2014, Lisa Gabriel was registered through Cambridge Investment Research Advisors, Inc. and Sunset Financial Services, Inc.
- Pinafore Wealth Counsel Inc.Current– present · 12 yearsDurham, NC · Adviser representative · Firm CRD 170540
- Cambridge Investment Research Advisors, Inc.– · 2 yearsDurham, NC · Adviser representative · Firm CRD 134139
- Sunset Financial Services, Inc.– · under a yearDurham, NC · Adviser representative · Firm CRD 3538
- Kavar Capital Partners, LLC– · under a yearDurham, NC · Adviser representative · Firm CRD 155805
- Securian Financial Services, Inc.– · 6 yearsSt. Louis, MO · Adviser representative · Firm CRD 15296
Professional designations
Listed by Pinafore Wealth Counsel
- CFP®
- ChFC®
Investment adviser representative registrations
Lisa Gabriel is registered as an investment adviser representative in 4 states. The first approvals date from October 2014; the most recent is Florida, in August 2021.
- FloridaSince 10 August 2021
- LouisianaSince 15 October 2014
- MissouriSince 15 March 2017
- North CarolinaSince 10 October 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 27 May 2005 |
| Series 66 | Uniform Combined State Law Examination | 24 February 2004 |
| Series 7 | General Securities Representative Examination | 28 January 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 September 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 August 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Lisa Marie Gabriel
- CRD
- 1528723
- Firm
- Pinafore Wealth Counsel · CRD 170540
- Role
- President / CCO
- Office
- 3622 LYCKAN PKWY, STE 3004, Durham, NC 27707
- Registration
- Investment adviser registration
- In the industry since
- April 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pinaforewealth.com
Where does Lisa Gabriel work?
Lisa Gabriel has been President / CCO of Pinafore Wealth Counsel Inc. since September 2014, and is a control person of the firm.
Is Lisa Gabriel a financial advisor?
Yes. Lisa Gabriel has a current investment-adviser registration in Florida, Louisiana, Missouri and North Carolina, through Pinafore Wealth Counsel since October 2014.
How many years of experience does Lisa Gabriel have?
Lisa Gabriel has 22 years in the financial industry, since April 2004, across 5 adviser firms.
What exams has Lisa Gabriel passed?
Lisa Gabriel has passed 5 licensing exams: the Series 63, Series 65, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in August 1986. FINRA credited Lisa Gabriel with the SIE, which began in October 2018.
Where did Lisa Gabriel work before Pinafore Wealth Counsel?
Before Pinafore Wealth Counsel, Lisa Gabriel was registered through Cambridge Investment Research Advisors, Inc., June 2012 to October 2014; Sunset Financial Services, Inc., November 2011 to June 2012; Kavar Capital Partners, LLC, February 2011 to November 2011; Securian Financial Services, Inc., February 2004 to January 2011.
Where is Lisa Gabriel based?
Lisa Gabriel’s registered office is in Durham, NC.
Is Lisa Gabriel registered with FINRA?
No. Lisa Gabriel has no current broker registration.
Is Lisa Gabriel a CFP?
Pinafore Wealth Counsel lists Lisa Gabriel with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Lisa M. Gabriel, CFP®, ChFC® biography, pinaforewealth.com
How can I verify Lisa Gabriel’s record?
Search CRD 1528723 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lisa Gabriel’s full registration record.