GIBBS WEALTH MANAGEMENT, LLC of ALPHARETTA, GA is an SEC-registered investment adviser (CRD 281621). Regulatory assets under management: $1.1B.
Compensation: % of AUM.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Edward Byron Gibbs | MANAGING MEMBER/OWNER | — |
| Daniel Roy Mowery | PRESIDENT | — |
| Valerie S Smithey | CHIEF COMPLIANCE OFFICER | — |
| Askari J Foy | CHIEF COMPLIANCE OFFICER | — |
| LEE DAVID | CHIEF COMPLIANCE OFFICER | — |
| GIBBS EDWARD BYRON | MANAGING MEMBER/OWNER | — |
| vandeBeek Peter Tyler | CHIEF COMPLIANCE OFFICER | — |
| MOWERY DANIEL ROY | PRESIDENT | — |
| Susanne Marie Naso | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-12-01 | civil | THE SUIT WAS FILED TO RECOVER MONIES PREVIOUSLY PAID TO MR. ORFIN IN RELATION TOSECURITIES SOLD ON BEHALF OF WOODBRIDGE GROUP OF COMPANIES ON THE GROUNDSTHAT PAYMENTS WERE FRAUDULENT AND LIABLE FOR THE SALE OF UNREGISTEREDSECURITIES, FRAUD, AND AIDING AND ABETTING FRAUD. | Final | $120K |
| 2018-01-29 | regulatory | ORDERED TO IMMEDIATELY CEASE AND DESIST FROM ALLEGEDLY VIOLATINGMCL 451.2301 AND 452.2402(1) | Final | $10K |
| 2018-01-29 | regulatory | STATE OF MICHIGAN DEPARTMENT OF INSURANCE AND FINANCIAL SERVICES(DIFS) ALLEGES VIOLATIONS OF THE FOLLOWING PROVISIONS OF THEMICHAIGAN INSURANCE CODE: MCL 500.1247(1), MCL 500.1239(1)(G), ANDMCL 500.1239(2)(E). | Final | $3K |
| 2015-01-15 | regulatory | A NUMBER OF CLIENTS SOLD SECURITIES IN ORDER TO PURCHASE ANNUITIES MR. WATSON SUGGESTED AND SOLD | Final | $3K |
| — | regulatory | — | — | — |