Gila Lee Adato
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.
Gila Lee Adato, who also goes by Gila Kaplan, was a registered financial professional .
Gila is a previously registered financial professional and started their career in finance in 2001. Gila had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2016 - January 4, 2023
FIRST LIBERTIES FINANCIAL
September 5, 2013 - September 16, 2014
NORIBA INVESTING
September 26, 2011 - October 20, 2011
CENTURY PACIFIC SECURITIES, INC.
August 23, 2011 - August 24, 2011
CENTURY PACIFIC SECURITIES, INC.
December 10, 2010 - July 26, 2012
SECOND STREET SECURITIES, INC.
April 25, 2008 - June 12, 2009
MARCO POLO SECURITIES INC.
April 30, 2002 - May 23, 2006
PALI CAPITAL, INC.
December 11, 2001 - April 30, 2002
PALI CAPITAL, 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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
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