Stephen N. 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.
Stephen N Gilbert, who also goes by Nate Gilbert, Nathan Gilbert, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2010. Stephen had worked at 4 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
March 20, 2014 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 17, 2013 - March 8, 2018
SCOTTRADE, INC.
February 14, 2011 - December 3, 2013
MSI FINANCIAL SERVICES, INC.
February 14, 2011 - December 3, 2013
MSI FINANCIAL SERVICES, INC.
April 19, 2010 - December 16, 2010
EDWARD JONES
April 2, 2010 - December 16, 2010
EDWARD JONES
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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