David J. 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.
David Joseph Gilbert was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - December 19, 2019
CLARION PARTNERS SECURITIES, LLC
June 27, 2011 - January 29, 2014
FORESIDE FUND SERVICES, LLC
August 16, 2010 - June 28, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 15, 2008 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
April 13, 2005 - July 11, 2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 1, 1995 - August 20, 1996
JPMSI
January 15, 1993 - May 13, 1994
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 20, 1987 - May 10, 1988
CREDIT SUISSE SECURITIES (USA) LLC
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
CLARION PARTNERS SECURITIES, LLC
CRD#: 166384 / SEC#: , 8-69204
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLARION PARTNERS | MANAGING MEMBER | 108803 |
| ANDERSON, EVANS KEPHART | CHIEF EXECUTIVE OFFICER | 7360699 |
| PATTEN, DEIRDRE MARIAN | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL FINANCIAL OFFICER | 1357509 |
| SILK, BARBARA | ASSISTANT TREASURER | 6697872 |
| STABLER, JOSEPH PENN | SECRETARY | 6886387 |
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.
