Albert W. Giobbie
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.
Albert William Giobbie, who also goes by Albert William Giobbe, Albert William Globbie, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1972. Albert had worked at 6 firms and has passed the Series 63, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1994 - September 20, 1995
GATEWAY CAPITAL INVESTMENT GROUP INC.
August 25, 1988 - July 23, 1994
ADLER COLEMAN & CO., INC.
June 5, 1986 - September 15, 1987
UBS FINANCIAL SERVICES INC.
May 24, 1984 - May 27, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
February 14, 1977 - July 22, 1977
PERSHING & CO. INC.
February 1, 1972 - February 14, 1977
PERSHING & CO., 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 000
Date: 1/27/1972
General Securities Principal ExaminationSeries 1
Date: 1/27/1972
Registered Representative ExaminationCurrent Firm
GATEWAY CAPITAL INVESTMENT GROUP INC.
CRD#: 35999 / SEC#: , 8-46983
Contact information
Documents
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.
