James M. 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.
James Michael Gilbert, who also goes by Jim Michael Gilbert, James Gilbert, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 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
February 21, 2017 - September 24, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 22, 2014 - June 7, 2016
THE LEADERS GROUP, INC.
May 16, 2005 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - May 3, 2005
CETERA FINANCIAL SPECIALISTS LLC
August 20, 1998 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
June 1, 1995 - January 1, 1997
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 25, 1994 - March 1, 1995
WS GRIFFITH 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 7TO
Date: 2/26/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/26/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
