Thomas L. 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.
Thomas Lee Gilbert, who also goes by Tom Gilbert, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 8 firms and has passed the Series 63, SIE, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - December 31, 2020
THE LEADERS GROUP, INC.
October 30, 2014 - December 31, 2016
OSAIC SERVICES, INC.
January 7, 2010 - November 4, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 2005 - December 31, 2009
VOYA FINANCIAL ADVISORS, INC.
January 1, 1995 - January 1, 2005
INTERLINK SECURITIES CORP.
November 8, 1994 - December 31, 1994
IAC SECURITIES, INC.
December 6, 1993 - April 5, 1994
IAC SECURITIES, INC.
August 13, 1976 - April 26, 1991
JNL EQUITY CORP.
July 23, 1974 - July 25, 1976
LOCUST STREET SECURITIES, INC.
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
Series 1
Date: 7/17/1974
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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