Ivy L. Gilbert
Professional summary
Ivy Lynn Gilbert was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ivy is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Ivy had worked at 2 firms, which includes LASALLE ST SECURITIES L.L.C., FIRM INVESTMENT CORP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 1999 - September 13, 1999
LASALLE ST SECURITIES, L.L.C.
May 24, 1985 - May 27, 1999
FIRM INVESTMENT CORP
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 62
Date: 2/3/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| 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.
