Daniel A. 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.
Daniel A Gilbert, who also goes by Daniel Anthony Gilbert, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 4 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
January 9, 2020 - December 31, 2023
MOSAIC LLC
August 3, 2018 - December 31, 2019
MOSAIC LLC
December 21, 2011 - August 18, 2016
U.S. BANCORP INVESTMENTS, INC.
December 21, 2011 - August 18, 2016
U.S. BANCORP INVESTMENTS, INC.
May 10, 2011 - January 5, 2012
RIVERSOURCE DISTRIBUTORS, INC.
January 4, 2010 - May 9, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
November 3, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2006 - September 22, 2008
CHASE INVESTMENT SERVICES CORP.
December 6, 2006 - September 22, 2008
CHASE INVESTMENT SERVICES CORP.
February 23, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 23, 2005 - December 12, 2006
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
MOSAIC LLC
CRD#: 287998 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 6,000,000 |
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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