GILBERT GREG RIA, LLC of OAKLAND, CA is an SEC-registered investment adviser (CRD 304981). Regulatory assets under management: $174.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Gregory Burton Gilbert | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| GILBERT GREGORY BURTON | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-12-08 | regulatory | SAFE HARBOR VIOLATION OF THE MEMBERSHIP AGREEMENT BY 6 ASSOCIATED REPS AND 2 BRANCHES. FAILURE TO CONDUCT PRE-HIRE PUBLIC RECORDS SEARCHES AS PART OF WRITTEN SUPERVISORY PROCEDURES OF TAX LIENS JUDGEMENTS AND BANKRUPTCIES AND PRIOR EMPLOYER VERIFCATION OF U-5 CHECKS. | Final | $35K |
| 2019-08-16 | regulatory | THAT REPRESENTATIVE ASSISTED WITH A CUSTOMER'S VARIABLE ANNUITY EXCHANGE AWAY FROM HIS MEMBER FIRM AND RECEIVED COMPENSATION IN CONNECTION WITH THIS EXCHANGE FROM A REGISTERED REPRESENTATIVE OF ANOTHER MEMBER FIRM WITH WHOM REPRESENTATIVE HAD NO PRIOR RELATIONSHIP. | Final | $10K |
| 2018-11-27 | regulatory | REPRESENTATIVE FALSELY MARKED ORDER TICKETS FOR SOLICITED TRADES IN CUSTOMER ACCOUNTS AS UNSOLICITED, CAUSING HIS MEMBER FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS. THE FINDINGS STATED THAT TOLENE FALSELY REPRESENTED ON A FIRM ANNUAL COMPLIANCE CERTIFICATION FORM THAT HE HAD NOT SOLICITED ANY FIR… | Final | $4K |
| 2014-07-02 | regulatory | RESPONDENT, AS CCO AND PRESIDENT OF FIRM, FAILED TO PROVIDE ACCURATE ACCOUNT STATEMENTS TO CLIENTS, ALLOWED AN EMPLOYEE TO ACT AS AN INVESTMENT ADVISER REPRESENTATIVE WITHOUT BEING REGISTERED, FAILED TO CONDUCT ANNUAL REVIEWS, FAILED TO PROPERLY DISCLOSE OWNERSHIP OF FIRM AND FAILED TO FILE UPDATING… | Final | $5K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| EL CAJON | CA | 2 | (619) 468-6031 |
| — | — | 1 | 504-301-5125 |
| — | — | 1 | 7606046610 |
| — | — | 1 | 724-733-8041 |
| — | — | 1 | 316-619-6799 |
| — | — | 1 | 925-998-8760 |
| SAN FRANCISCO | CA | 1 | 925-872-0897 |
| HARRISBURG | PA | 1 | 717-829-3010 |
| BROOKFIELD | WI | 1 | 414-331-4383 |
| — | — | 1 | 615-933-5236 |
| — | — | 1 | 423-910-9434 |
| — | — | 1 | 209-409-7825 |
| — | — | 1 | 8164568993 |
| — | — | 1 | 951-870-6779 |
| LA JOLLA | CA | 1 | 858-829-6577 |