Robert J. Gilbert

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CRD#: 1893094

Professional summary

Robert Jay Gilbert was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Robert had worked at 4 firms, which includes JOSEPHTHAL & CO. INC., A. R. BARON & CO. INC., GRUNTAL & CO. L.L.C., D. H. BLAIR & CO. INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CRD#: 6833

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/8/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/1994

General Securities Principal Examination

Current Firm

JOSEPHTHAL & CO., INC.

JOSEPHTHAL & CO INC | ROSENKRANTZ, EHRENKRANTZ, LYON & ROSS INCORPORATED | ROSENKRANTZ LYON & ROSS INCORPORATED | JOSEPHTHAL LYON & ROSS INCORPORATED | JOSEPHTHAL & CO., INC.

CRD#: 3227 / SEC#: , 8-5651

Terminated by SEC on 06/24/2002

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 06/20/1956

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
JOSEPHTHAL CAPITAL GROUP, INC.	PARENT
AGOSTA, SALVATORE FRANK	CHIEF FINANCIAL OFFICER	1253738
FICHTNER, HENRY ARTHUR	NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT	1327009
FITZGERALD, PAUL HENRY	CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR	812775
HURLEY, KEVIN BRADY	COMPLIANCE DIRECTOR	1293748
KRONENBERG, DAVID HIRSCH	CHIEF ADMINISTRATIVE OFFICER	1799665
MATYCKAS, EDWARD STANLEY	CROP/SROP	1405961
MCCABE, DONALD GERARD	GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY	1367480
MCNAMARA, DENNIS PATRICK	GENERAL COUNSEL - CORPORATE-VICE PRESIDENT	2938486

Disclosures

Regulatory Event	32
Arbitration	12

Red Flags

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Robert J. Gilbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOSEPHTHAL & CO., INC.

A. R. BARON & CO., INC.

GRUNTAL & CO., L.L.C.

A. R. BARON & CO., INC.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/1989

Series 7

Date: 1/21/1989

Series 24

Date: 3/1/1994

Current Firm

JOSEPHTHAL & CO., INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPHTHAL & CO., INC.

TRUST BUT VERIFY

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