Wayne G. Schaab

GILBERT INVESTMENT MANAGEMENT

BRUNSWICK, ME 04011

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CRD#: 1179132

Professional summary

Wayne George Schaab is a registered financial advisor currently at GILBERT INVESTMENT MANAGEMENT located in Brunswick, Maine.

Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Wayne has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. LIFE, HEALTH AND DISABILITY INSURACNE LICENSE. NAME: DOW INVESTMENT GROUP, ADDRESS: SAME AS BRANCH ADDRESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne George Schaab's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 13, 2018 - Present

GILBERT INVESTMENT MANAGEMENT

Office #1: 14 Maine Street Suite 109b, Brunswick, ME 04011Office #2: 183 Middle Street, Portland, ME 04101

RIA

CRD#: 290936

BRUNSWICK, ME

Past

January 10, 2018 - January 24, 2018

KOVACK SECURITIES INC.

CRD#: 44848

Portland, ME

Past

January 3, 2005 - December 31, 2017

BOLTON GLOBAL CAPITAL

CRD#: 15650

PORTLAND, ME

Past

September 5, 2003 - November 10, 2004

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

FALMOUTH, ME

Past

May 19, 2003 - November 10, 2004

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 27, 1989 - June 6, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 8, 1987 - July 14, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 24, 1983 - October 14, 1987

MOSELEY SECURITIES CORPORATION

CRD#: 7908

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(2/13/2018)

IAR

Massachusetts
(6/18/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/29/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

GILBERT INVESTMENT MANAGEMENT

GILBERT INVESTMENT MANAGEMENT | GILBERT INVESTMENT MANAGEMENT INC

CRD#: 290936 / SEC#:

Maine

Registered Investment Advisory firm - (2/13/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (1/24/2018 Approved)

Texas

Registered Investment Advisory firm - (3/7/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

20 Mckenna Ter, Boston, MA 02132

Mailing Address

Phone number

(617) 645-1625

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 14,196,639

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.

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Firm Stability Insights

Wayne G. Schaab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne George Schaab's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK SECURITIES INC.

BOLTON GLOBAL CAPITAL

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

MOSELEY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2003

Series 63

Date: 10/22/1983

SIE

Date: 1/24/2018

Series 7

Date: 8/20/1983

Current Firm

GILBERT INVESTMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GILBERT INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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