Paul J. Gilbert

FALCON SQUARE CAPITAL

Raleigh, NC 27607

Some features on this profile are disabled

CRD#: 809391

Professional summary

Paul Jones Gilbert III, who also goes by Paul Jones Gilbert, is a registered financial professional currently at FALCON SQUARE CAPITAL, LLC located in Raleigh, North Carolina.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1975. Paul has worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Jones Gilbert

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Jones Gilbert III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 10, 2015 - Present

FALCON SQUARE CAPITAL, LLC

Office #1: 3701 Lake Boone Trail Suite 100, Raleigh, NC 27607

CRD#: 165225

Raleigh, NC

Past

November 8, 2010 - October 20, 2014

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

May 16, 2008 - November 5, 2010

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

July 27, 2006 - May 27, 2008

VINING-SPARKS IBG, LLC

CRD#: 27502

SAN FRANCISCO, CA

Past

July 22, 2003 - August 30, 2006

HOEFER & ARNETT, INCORPORATED

CRD#: 10883

SAN FRANCISCO, CA

Past

December 3, 2001 - March 21, 2003

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

March 15, 2000 - November 5, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

October 2, 1995 - March 9, 2000

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

November 3, 1994 - September 14, 1995

SMITH MITCHELL INVESTMENT GROUP INC.

CRD#: 6987

SEATTLE, WA

Past

November 8, 1993 - August 26, 1994

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

July 31, 1993 - November 18, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 26, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 25, 1991 - April 3, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 24, 1990 - February 26, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 17, 1988 - October 31, 1988

WESTPAC POLLOCK & CO. INC.

CRD#: 901

Past

February 16, 1988 - December 7, 1989

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

CRD#: 19792

Past

August 4, 1987 - November 12, 1987

PRINTON, KANE GOVERNMENT SECURITIES, INC.

CRD#: 17733

Past

February 24, 1978 - July 5, 1978

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 27, 1976 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

June 26, 1975 - June 10, 1976

BACHE & CO INCORPORATED

CRD#: 7058

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/10/2015)

New York
(2/10/2015)

North Carolina
(2/10/2015)

Exams

State Security Law Exam

Series 63

Date: 6/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FALCON SQUARE CAPITAL, LLC

FALCON SQUARE CAPITAL, LLC | HCG

CRD#: 165225 / SEC#: , 8-69147

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3701 Lake Boone Trail Suite 100, Raleigh, NC 27607

Mailing Address

3701 Lake Boone Trail Suite 100, Raleigh, NC 27607

Phone number

(919) 825-1534

Established

North Carolina since 04/02/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENDERGRASS, MELISSA JOINES	CEO, CFO, CCO	5392765
CUNNINGHAM, SCOTT LINDSAY	MEMBER	4829676
WALL, BRAXTON CRAVEN	MEMBER	5557276
WRIGHT, KEATON THOMAS	MEMBER	5703087
PORTWOOD, WILLIAM BOYCE	FINOP	4853700

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Paul J. Gilbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Jones Gilbert III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

GREAT PACIFIC SECURITIES

VINING-SPARKS IBG, LLC

HOEFER & ARNETT, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

SUTRO & CO. INCORPORATED

STONE & YOUNGBERG LLC

SMITH MITCHELL INVESTMENT GROUP INC.

TUCKER ANTHONY INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

GRUNTAL & CO., L.L.C.

MORGAN STANLEY DW INC.

WESTPAC POLLOCK & CO. INC.

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

PRINTON, KANE GOVERNMENT SECURITIES, INC.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

BACHE & CO INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1988

FINRA

Current Firm

FALCON SQUARE CAPITAL, LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FALCON SQUARE CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors