Barry M. Gilman
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.
Barry Michael Gilman was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1969. Barry had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 1, Series 24 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
October 27, 2016 - December 14, 2020
CAPITAL ANALYSTS
October 25, 2016 - December 14, 2020
LINCOLN INVESTMENT
March 11, 2016 - December 14, 2020
LINCOLN INVESTMENT
December 28, 2015 - March 14, 2016
SIGNATOR INVESTORS, INC.
September 9, 2002 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
September 1, 2000 - September 11, 2002
FIRST ALLIED SECURITIES, INC.
August 5, 1998 - September 1, 2000
CONSECO SECURITIES, INC.
April 14, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
June 7, 1988 - April 14, 1997
CONSECO EQUITY SALES, INC.
January 21, 1987 - April 14, 1997
CONSECO EQUITY SALES, INC.
November 2, 1984 - December 31, 1988
CONSECO FINANCIAL SERVICES, INC.
February 11, 1982 - October 30, 1989
PRUCO SECURITIES, LLC.
May 9, 1975 - January 29, 1982
TOWER SQUARE SECURITIES, INC.
January 28, 1971 - May 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 20, 1969 - October 13, 1983
VOYAGER SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 7TO
Date: 11/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 11/1/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/16/1969
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
