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Dorothy Ann Gilbert

Osaic Wealth, Inc.

Baton Rouge, LA

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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-13
LA RA APPROVED 2023-09-01
  • TX RA
    APPROVED
    Since 2024-05-13
  • LA RA
    APPROVED
    Since 2023-09-01

Branch Locations

10688 Ranchwood Drive, Baton Rouge, LA 70815 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sagepoint Financial, Inc Baton Rouge LA 01/2009 09/2023
Osaic Wealth, Inc. Baton Rouge LA 09/2023 Present
  • 01/2009 → 09/2023
    Sagepoint Financial, Inc
    Baton Rouge, LA
  • 09/2023 → Present
    Osaic Wealth, Inc.
    Baton Rouge, LA
Previous Registrations
  • 2005-10-31 → 2023-09-01
    Osaic Services, Inc.
    Baton Rouge, LA
    Shreveport, LA
  • 2002-10-02 → 2005-10-31
    Sunamerica Securities, Inc.
    Baton Rouge, LA
Other Businesses

1. DOROTHY A GILBERT, CFP POSITION: Owner/Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITY TRADING HOURS: 5 START DATE: 10/29/1990 ADDRESS: 10688 Ranchwood Drive, Baton Rouge, LA 70815 DESCRIPTION: Addressing the insurance needs of my clients, which includes long term care, fixed insurance and fixed annuities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-11
S63 Uniform Securities Agent State Law Examination 1993-07-26
  • S65 Uniform Investment Adviser Law Examination
    1999-01-11
  • S63 Uniform Securities Agent State Law Examination
    1993-07-26
Designations
Other Names
  • Dot Gilbert

View on SEC IAPD

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BERNHARD CAPITAL PARTNERS MANAGEMENT, LP
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
3RD STREET CAPITAL MANAGEMENT L.L.C.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
MORGAN STANLEY · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · BATON ROUGE, LA

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