Andrew E. 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.
Andrew Ernesto Gilbert, who also goes by Andy Gilbert, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 10 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2010 - March 25, 2014
FORESTERS EQUITY SERVICES, INC.
May 13, 2010 - March 25, 2014
FORESTERS EQUITY SERVICES, INC.
November 30, 2006 - February 22, 2010
NFSG CORPORATION
November 30, 2006 - February 22, 2010
NEWBRIDGE SECURITIES CORPORATION
June 21, 2005 - January 26, 2007
REGAL SECURITIES, INC.
May 11, 2005 - November 30, 2006
SCF INVESTMENT ADVISORS, INC.
May 11, 2005 - November 30, 2006
SCF SECURITIES, INC.
October 6, 2004 - May 4, 2005
M.L. STERN & CO., LLC.
October 6, 2004 - May 4, 2005
M.L. STERN & CO., LLC.
April 22, 2004 - October 7, 2004
TD AMERITRADE, INC.
April 16, 2004 - October 7, 2004
TD AMERITRADE, INC.
April 23, 2003 - March 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 2003 - March 12, 2004
IDS LIFE INSURANCE COMPANY
April 23, 2003 - March 12, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
September 7, 2001 - October 9, 2001
IDS LIFE INSURANCE COMPANY
September 7, 2001 - October 9, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
