NG
Norbert P. Gilbert
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CRD#: 2142632
NG
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.
Norbert Pj Gilbert, who also goes by Norbert P J Gilbert, Pj Gilbert, was a registered financial professional .
Norbert is a previously registered financial professional and started their career in finance in 1992. Norbert had worked at 17 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, Series 52TO, SIE, Series 7, Series 55, Series 24, Series 53, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Norbert P J Gilbert | Pj Gilbert
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.
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®
NoneExperience
Past
October 25, 2018 - March 1, 2021
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
October 23, 2018 - March 1, 2021
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
March 5, 2018 - September 20, 2018
SMART STREET ADVISORS
RIA
CRD#: 291572
OVIEDO, FL
Past
July 7, 2016 - February 15, 2018
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Oviedo, FL
Past
October 26, 2015 - May 10, 2016
SMART STREET
RIA
CRD#: 206511
LAKE MARY, FL
Past
January 20, 2012 - July 24, 2013
SMART STREET ADVISORS, LLC
RIA
CRD#: 159577
OVIEDO, FL
Past
August 31, 2011 - November 7, 2011
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
OVIEDO, FL
Past
October 2, 2007 - May 28, 2010
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
ORLANDO, FL
Past
March 10, 2006 - June 6, 2006
JW RICHARDS, INC
BD
CRD#: 42763
LONGWOOD, FL
Past
July 9, 2004 - September 16, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 28, 2001 - March 3, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BOCA RATON, FL
Past
August 28, 2001 - March 3, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
May 16, 1994 - August 14, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
January 24, 1994 - June 1, 1994
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
October 18, 1993 - December 23, 1993
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
April 19, 1993 - April 27, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
NEW YORK, NY
Past
September 24, 1992 - February 24, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 14, 1992 - March 2, 1993
ROBERT TODD FINANCIAL CORP.
BD
CRD#: 7423
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".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/30/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 6/30/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/12/2001
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
