Andrea 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.
Andrea E Gilbert, who also goes by Andrea E. Gilbert, Andrea Elodia Gilbert, Andrea Gilbert, Andrea E Gilbert-farmer, Andrea Gilbert-farmer, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 2014. Andrea had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2024 - July 24, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
May 21, 2024 - July 24, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
October 18, 2021 - January 19, 2023
LPL FINANCIAL LLC
October 18, 2021 - January 19, 2023
LPL FINANCIAL LLC
August 18, 2016 - October 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2016 - October 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 9, 2015 - July 26, 2016
J.P. MORGAN SECURITIES LLC
March 27, 2015 - July 26, 2016
J.P. MORGAN SECURITIES LLC
October 8, 2014 - November 17, 2014
EDWARD JONES
July 30, 2014 - November 17, 2014
EDWARD JONES
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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 CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2026 | ||
| 01/13/2025 |
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.
