Gregory W. Gobble

OSAIC INSTITUTIONS

Creve Coeur, MO 63141

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CRD#: 2056181

Professional summary

Gregory Wade Gobble, who also goes by Greg Gobble, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Creve Coeur, Missouri.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Gregory has worked at 22 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Gobble

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) - RIA

Click below to view Gregory Wade Gobble's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gregory Wade Gobble's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 23, 2020 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 11901 Olive Blvd, Creve Coeur, MO 63141

RIA

CRD#: 35371

Creve Coeur, MO

Current

March 23, 2020 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 11901 Olive Blvd, Creve Coeur, MO 63141

RIA

CRD#: 35371

Creve Coeur, MO

Past

December 18, 2019 - April 2, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

ST. LOUIS, MO

Past

December 13, 2019 - April 2, 2020

LPL FINANCIAL LLC

CRD#: 6413

ST. LOUIS, MO

Past

June 12, 2018 - December 16, 2019

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

O'Fallon, IL

Past

June 7, 2018 - December 16, 2019

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

O'Fallon, IL

Past

May 4, 2018 - May 23, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SWANSEA, IL

Past

May 3, 2018 - May 23, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

SWANSEA, IL

Past

October 30, 2017 - April 30, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

COLLINSVILLE, IL

Past

October 30, 2017 - April 30, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

CLAYTON, MO

Past

February 6, 2017 - October 30, 2017

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

Alton, IL

Past

February 3, 2017 - October 30, 2017

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

Alton, IL

Past

January 18, 2017 - February 1, 2017

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Swansea, IL

Past

May 4, 2012 - January 31, 2017

FIRST BROKERAGE AMERICA, L.L.C.

RIA

CRD#: 43431

SWANSEA, IL

Past

March 26, 2012 - January 31, 2017

FIRST BROKERAGE AMERICA, L.L.C.

CRD#: 43431

SWANSEA, IL

Past

March 7, 2012 - March 27, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

ST LOUIS, MO

Past

October 3, 2011 - March 2, 2012

MOLONEY SECURITIES CO., INC.

RIA

CRD#: 38535

EDWARDSVILLE, IL

Past

October 3, 2011 - March 2, 2012

MOLONEY SECURITIES CO., INC.

CRD#: 38535

MANCHESTER, MO

Past

June 15, 2011 - October 14, 2011

ALTON CAPITAL MANAGEMENT, INC.

RIA

CRD#: 123674

ALTON, IL

Past

June 3, 2011 - October 14, 2011

ALTON SECURITIES GROUP INC.

CRD#: 39639

ALTON, IL

Past

January 3, 2011 - May 25, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

EDWARDSVILLE, IL

Past

January 3, 2011 - May 25, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

EDWARDSVILLE, IL

Past

October 18, 2010 - December 15, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

EDWARDSVILLE, IL

Past

October 18, 2010 - December 15, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

EDWARDSVILLE, IL

Past

December 6, 2005 - November 10, 2010

SII INVESTMENTS, INC.

RIA

CRD#: 2225

OLNEY, IL

Past

December 6, 2005 - November 10, 2010

SII INVESTMENTS, INC.

CRD#: 2225

OLNEY, IL

Past

June 4, 2003 - December 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

COLLINSVILLE, IL

Past

June 3, 2003 - December 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

October 19, 2001 - June 3, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ST. LOUIS, MO

Past

June 5, 2001 - June 3, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 28, 1998 - June 4, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 4, 1997 - October 26, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 7, 1996 - February 27, 1997

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

September 18, 1995 - May 22, 1996

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 9, 1995 - September 19, 1995

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 10, 1990 - May 3, 1995

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

May 31, 1990 - July 20, 1990

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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".

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/17/2024)

Arkansas
(7/29/2021)

California
(10/18/2024)

Florida
(3/23/2020)

IAR

Illinois
(3/23/2020)

Illinois
(3/31/2020)

Indiana
(6/2/2022)

Michigan
(1/3/2023)

Missouri
(3/23/2020)

IAR

Missouri
(3/23/2020)

New Jersey
(8/13/2024)

Oregon
(4/20/2022)

Texas
(3/23/2020)

Virginia
(1/21/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/30/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

630

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (2/5/2026)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
CORNICK, GREGORY ALLEN	DIRECTOR	3132991
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory assets under management

Total Number of Accounts	8,779
AUM (Assets Under Management)	$ 4,024,448,971

Disclosures

Regulatory Event

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory W. Gobble

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Wade Gobble's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Gregory Wade Gobble's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

OSAIC INSTITUTIONS, INC.

FIRST BROKERAGE AMERICA, L.L.C.

FIRST BROKERAGE AMERICA, L.L.C.

PARK AVENUE SECURITIES LLC

MOLONEY SECURITIES CO., INC.

MOLONEY SECURITIES CO., INC.

ALTON CAPITAL MANAGEMENT, INC.

ALTON SECURITIES GROUP INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NATCITY INSURANCE SERVICES, INC.

A. G. EDWARDS & SONS, INC.

NATCITY INSURANCE SERVICES, INC.

EDWARD JONES

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1997

Series 63

Date: 6/6/1990

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/30/1990

Series 24

Date: 12/29/2021

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information