Richard E. 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.
Richard Elmer Gilbert was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2008 - December 9, 2008
BENTLEY-LAWRENCE SECURITIES, INC.
July 22, 2004 - April 9, 2008
BROADSTONE SECURITIES
May 27, 1992 - July 21, 2004
SECURITIES AMERICA, INC.
August 2, 1989 - June 2, 1992
USA FINANCIAL GROUP, INC.
February 9, 1988 - August 5, 1989
QUESTOR FINANCIAL SERVICES
January 27, 1983 - February 10, 1988
MARINER FINANCIAL SERVICES, 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
BENTLEY-LAWRENCE SECURITIES, INC.
CRD#: 13174 / SEC#: , 8-28967
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
