Geoffrey A. Gimber
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.
Geoffrey Alexander Gimber was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1986. Geoffrey had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2007 - October 15, 2025
AUERBACH GRAYSON & COMPANY LLC
October 16, 2003 - April 12, 2007
SAMSUNG SECURITIES (AMERICA), INC.
May 4, 2000 - October 15, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
June 9, 1997 - March 30, 2000
COWEN AND COMPANY
March 24, 1996 - May 16, 1997
SCHRODER & CO. INC.
September 25, 1995 - March 15, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1993 - January 29, 1996
SMITH NEW COURT, INC.
May 31, 1989 - October 19, 1993
J.P. MORGAN SECURITIES LLC
May 20, 1986 - June 26, 1989
SALOMON BROTHERS INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/21/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 3/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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