Gabrielle Griffin

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CRD#: 2408841

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.

Gabrielle Griffin, who also goes by Gaby Griffin, Gabrielle Silvers, Gaby Silvers, was a registered financial professional .

Gabrielle is a previously registered financial professional and started their career in finance in 2008. Gabrielle had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gaby Griffin | Gabrielle Silvers | Gaby Silvers

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.

Blog Corner

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®

None

Experience

Past

September 4, 2018 - December 19, 2019

CAPITAL BANK AND TRUST COMPANY

RIA

CRD#: 170017

Chicago, IL

Past

January 3, 2011 - April 26, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHICAGO, IL

Past

January 3, 2011 - April 26, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHICAGO, IL

Past

April 8, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

CHICAGO, IL

Past

January 30, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

CHICAGO, IL

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".

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/7/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/29/2008

General Securities Representative Examination

Current Firm

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

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Contact information

Main Address

6455 Irvine Center Drive, Irvine, CA 92618-4518

Mailing Address

Phone number

(949) 975-5000

Established

Firm type

Fiscal year end

# of Employees

121

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CBT ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	579
AUM (Assets Under Management)	$ 139,294,588,096

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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Gabrielle Griffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

CAPITAL BANK AND TRUST COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2018

Series 66

Date: 4/7/2008

Series 7

Date: 1/29/2008

Current Firm

CAPITAL BANK AND TRUST COMPANY

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL BANK AND TRUST COMPANY

TRUST BUT VERIFY

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