Daniel S. Gimbel

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CRD#: 1264576

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.

Daniel Scott Gimbel, CIMA®, who also goes by Dan Gimbel, Daniel Gimbel, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Gimbel | Daniel Gimbel

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CRD#: 5393

WESTLAKE, TX

Past

April 11, 1988 - April 21, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 13, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 30, 1984 - July 30, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BMO FAMILY OFFICE, LLC

CRD#: 110264 / SEC#: 801-56868

RIA

Registered Investment Advisory firm - (10/20/1999 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/18/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/13/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/5/2000

General Securities Sales Supervisor - General Module Examination

Current Firm

BMO FAMILY OFFICE, LLC

CRD#: 110264 / SEC#: 801-56868

RIA

Registered Investment Advisory firm - (10/20/1999 Approved)

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Contact information

Main Address

320 South Canal Street Floor 12, Chicago, IL 60606

Mailing Address

Phone number

(650) 210-5042

Established

Firm type

Fiscal year end

# of Employees

120

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BMO FAMILY OFFICE, LLC ADV PART 2A (1/27/2025)

Regulatory assets under management

Total Number of Accounts	5,520
AUM (Assets Under Management)	$ 8,129,615,220

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Daniel S. Gimbel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CTC CONSULTING, LLC

CTC CONSULTING, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BMO FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1995

Series 63

Date: 6/5/1984

Series 3

Date: 7/18/2013

Series 7

Date: 5/19/1984

Series 9

Date: 4/13/2001

Series 10

Date: 5/5/2000

Current Firm

BMO FAMILY OFFICE, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BMO FAMILY OFFICE, LLC

TRUST BUT VERIFY

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