Marlis 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.
Marlis Ann Gilbert, CFP®, who also goes by Marlis Ranard Gilbert, was a registered financial professional .
Marlis is a previously registered financial professional and started their career in finance in 1983. Marlis had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, 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
Start date: 1985
Experience
April 18, 2016 - March 17, 2023
GILBERT & COOK, INC.
April 14, 2016 - December 31, 2022
PURSHE KAPLAN STERLING INVESTMENTS
February 7, 2003 - April 14, 2016
VSR FINANCIAL SERVICES, INC.
January 27, 2000 - February 7, 2003
THE MASTERS, INC.
January 20, 2000 - April 14, 2016
VSR FINANCIAL SERVICES, INC.
September 29, 1993 - January 31, 1996
FBL MARKETING SERVICES, LLC
April 24, 1989 - February 9, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 24, 1989 - February 9, 2000
OSAIC FA, INC.
May 12, 1988 - April 24, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 21, 1983 - May 24, 1988
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
GILBERT & COOK, INC.
CRD#: 283112 / SEC#: 801-107546
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GILBERT & COOK, INC.
CRD#: 283112 / SEC#: 801-107546
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,429 |
| AUM (Assets Under Management) | $ 1,361,575,720 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/17/2024 |
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.
