Lloyd H. 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.
Lloyd Harry Gilbert was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 2001. Lloyd had worked at 2 firms and has passed the Series 63, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2005 - December 20, 2012
EDGEWATER CAPITAL, LLC
October 23, 2001 - February 15, 2005
KOFFLER & COMPANY
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 28
Date: 9/26/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
EDGEWATER CAPITAL, LLC
CRD#: 128898 / SEC#: , 8-66184
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRAMER, CHRISTOPHER ALEXANDER | PRESIDENT, CCO, CFO | 4352074 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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