James A. 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.
James Andrew Gilbert was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
September 23, 2011 - June 28, 2025
ADVISE AND MONITOR FINANCIAL
June 2, 1992 - January 31, 2017
PENSION SERVICE ASSOCIATES SECURITIES
January 1, 1988 - January 18, 1993
SENTRA SECURITIES CORPORATION
August 7, 1985 - January 9, 1988
MORGAN STANLEY DW INC.
June 24, 1983 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ADVISE AND MONITOR FINANCIAL
CRD#: 158650 / SEC#: 801-126352
Contact information
Red Flags
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