Gilberta Ann Dorsey | Financial Professional

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.

Gilberta Ann Dorsey, who also goes by Gilberta Ann Dorsey, Gilberta Ann Lipcaman, Gilberta Ann Mcneff, Gilberta Ann Vanausdall, was a registered financial professional .

Gilberta is a previously registered financial professional and started their career in finance in 1989. Gilberta had worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Gilberta Ann Dorsey | Gilberta Ann Lipcaman | Gilberta Ann Mcneff | Gilberta Ann Vanausdall

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®

None

Experience

Past

February 28, 2023 - April 10, 2023

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

QUINCY, IL

Past

February 24, 2023 - April 10, 2023

REALTA EQUITIES, INC.

BD

CRD#: 23769

QUINCY, IL

Past

May 24, 2021 - October 17, 2022

NFSG CORPORATION

RIA

CRD#: 130814

QUINCY, IL

Past

May 18, 2021 - October 17, 2022

NEWBRIDGE SECURITIES CORPORATION

BD

CRD#: 104065

QUINCY, IL

Past

February 16, 2021 - April 5, 2021

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Quincy, IL

Past

February 10, 2021 - April 5, 2021

KOVACK SECURITIES INC.

BD

CRD#: 44848

Quincy, IL

Past

January 14, 2021 - January 31, 2021

SB ADVISORY, LLC

RIA

CRD#: 154680

Quincy, IL

Past

November 4, 2020 - January 31, 2021

SAN BLAS SECURITIES LLC

BD

CRD#: 290605

CHICAGO, IL

Past

October 3, 2016 - September 30, 2020

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Quincy, IL

Past

September 30, 2016 - September 30, 2020

INDEPENDENT FINANCIAL GROUP, LLC

BD

CRD#: 7717

Quincy, IL

Past

September 8, 2010 - October 12, 2016

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

QUINCY, IL

Past

September 2, 2010 - September 3, 2010

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

QUINCY, IL

Past

September 1, 2010 - October 12, 2016

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

QUINCY, IL

Past

June 19, 2008 - August 6, 2010

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

QUINCY, IL

Past

June 18, 2008 - August 6, 2010

INVESTORS CAPITAL CORP.

BD

CRD#: 30613

QUINCY, IL

Past

May 14, 2007 - January 4, 2008

EVERLAKE DISTRIBUTORS, LLC

BD

CRD#: 100460

NORTHBROOK, IL

Past

June 14, 2001 - September 1, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

QUINCY, IL

Past

April 19, 2001 - September 1, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD

CRD#: 793

QUINCY, IL

Past

October 27, 1999 - July 11, 2001

MORGAN STANLEY DW INC.

BD

CRD#: 7556

PURCHASE, NY

Past

November 28, 1989 - October 26, 1999

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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).

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.

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 65

Date: 7/24/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/12/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 9

Date: 4/12/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

RR

Series 10

Date: 1/21/2000

General Securities Sales Supervisor - General Module Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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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Advisor Monitoring

Firm Stability Insights

Gilberta A. Dorsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

SB ADVISORY, LLC

SAN BLAS SECURITIES LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

EVERLAKE DISTRIBUTORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2000

Series 63

Date: 12/12/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

Series 9

Date: 4/12/2000

Series 10

Date: 1/21/2000

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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