Richard O. Vandenberg
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.
Richard Otto Vandenberg JR, who also goes by Richard Otto Vandenberg, Rick Vandenberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15, Series 5 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2017 - November 19, 2024
CIBC PRIVATE WEALTH ADVISORS, INC.
January 8, 2014 - November 18, 2024
CIBC WORLD MARKETS CORP.
August 30, 2011 - January 2, 2014
INVESCO DISTRIBUTORS, INC.
December 24, 2008 - March 8, 2011
BESSEMER INVESTOR SERVICES, INC.
January 18, 2000 - June 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2000 - June 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 1984 - February 11, 2000
GOLDMAN SACHS & CO. LLC
November 25, 1981 - February 8, 1984
SALOMON BROTHERS INC.
Primary Firm SEC Registration
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
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
Series 15
Date: 5/6/1985
Foreign Currency Options ExaminationSeries 5
Date: 4/7/1982
Interest Rate Options ExaminationCurrent Firm
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28,865 |
| AUM (Assets Under Management) | $ 61,112,966,756 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 04/30/2025 | ||
| 10/20/2023 | ||
| 04/26/2023 |
Red Flags
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