Raphael G. Gilbert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Raphael Gideon Gilbert was a registered financial professional .
Raphael is a previously registered financial professional and started their career in finance in 1981. Raphael had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - August 28, 2014
NATIONAL PLANNING CORPORATION
February 25, 2014 - August 28, 2014
NATIONAL PLANNING CORPORATION
March 29, 2010 - November 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2010 - November 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2005 - April 14, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 14, 2005 - April 14, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 13, 2005 - May 13, 2005
MORGAN STANLEY DW INC.
April 12, 2005 - May 13, 2005
MORGAN STANLEY DW INC.
April 13, 2004 - April 12, 2005
WAMU INVESTMENTS, INC.
May 7, 2003 - April 19, 2004
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 17, 2002 - February 14, 2003
OSAIC FA, INC.
March 14, 2002 - February 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 2002 - February 14, 2003
OSAIC FA, INC.
June 21, 2000 - February 14, 2002
CHARLES SCHWAB & CO., INC.
August 8, 1983 - February 7, 1989
J.P. MORGAN SECURITIES LLC
October 31, 1981 - August 12, 1983
DAVIS, SKAGGS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
