John W. 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.
John Wendel Gilbert was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 3, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2016 - June 23, 2021
HURWITZ ASSOCIATES, INC.
August 20, 2007 - October 19, 2016
RAYMOND JAMES & ASSOCIATES, INC.
August 17, 2007 - October 19, 2016
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2007 - August 21, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 21, 2007
MORGAN STANLEY & CO. LLC
September 29, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
September 29, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 1998 - September 22, 2000
COWEN AND COMPANY
April 25, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 25, 1988 - April 29, 1997
RAUSCHER PIERCE REFSNES, INC.
May 11, 1981 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
May 1, 1981 - August 11, 1988
THOMSON MCKINNON SECURITIES INC.
June 29, 1973 - June 1, 1981
FINANCIAL SQUARE PARTNERS
August 29, 1969 - January 17, 1974
ROWLES, WINSTON & CO., INCORPORATED
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
PC
Date: 5/28/1985
AMEX Put and Call ExamSeries 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 1
Date: 5/1/1962
Registered Representative ExaminationSeries 40
Date: 8/4/1969
Registered Principal ExaminationCurrent Firm
HURWITZ ASSOCIATES, INC.
CRD#: 133472 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 58,901,630 |
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.
