Barbara 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.
Barbara Gilbert, who also goes by Barbara Maria Bode, Barbara M Gilbert, Barbara Maria Gilbert, Barbara Marian Gilbert, Barbara Maria Mccudden, Barbara Maria Tellam, Barbara M. Tellam, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2008. Barbara had worked at 10 firms and has passed the Series 66, SIE 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
September 5, 2019 - November 26, 2019
REALTA INVESTMENT ADVISORS, INC
August 1, 2019 - November 26, 2019
REALTA EQUITIES, INC.
November 2, 2018 - February 22, 2019
CASTLE WEALTH MANAGEMENT
April 2, 2018 - July 12, 2018
ALPHA BETA GAMMA WEALTH MANAGEMENT
May 4, 2017 - July 13, 2017
FIRSTRUST
May 9, 2014 - April 10, 2017
JANNEY MONTGOMERY SCOTT LLC
March 24, 2014 - April 10, 2017
JANNEY MONTGOMERY SCOTT LLC
August 2, 2012 - September 18, 2013
THE L. WARNER COMPANIES, INC
November 23, 2011 - July 16, 2013
M HOLDINGS SECURITIES, INC.
March 18, 2009 - December 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2008 - February 10, 2009
GRANT WILLIAMS L.P.
Primary Firm SEC Registration
REALTA INVESTMENT ADVISORS, INC
CRD#: 134952 / SEC#: 801-68000
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
REALTA INVESTMENT ADVISORS, INC
CRD#: 134952 / SEC#: 801-68000
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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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