Donald B. Gimbel
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.
Donald Bruce Gimbel, who also goes by Donald B Gimbel, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1968. Donald had worked at 15 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2017 - February 7, 2024
CIBC PRIVATE WEALTH ADVISORS, INC.
July 31, 2013 - September 1, 2017
GENEVA ADVISORS, LLC
June 7, 2004 - July 11, 2013
CARRET ASSET MANAGEMENT, LLC
July 3, 2003 - June 3, 2004
CARRET AND COMPANY, LLC.
January 12, 2001 - August 2, 2007
BREAN CAPITAL, LLC
September 9, 1997 - January 9, 2001
IRONHORSE SECURITIES INC.
March 22, 1994 - April 24, 1996
ABN AMRO SECURITIES LLC
August 26, 1992 - February 23, 1994
WALL STREET MANAGEMENT CORPORATION
February 4, 1987 - March 4, 1992
ORD MINNETT INC.
May 19, 1978 - January 20, 1986
KIDDER, PEABODY & CO. INCORPORATED
January 9, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
January 4, 1977 - January 2, 1978
LOEB RHOADES & CO. INC.
June 23, 1975 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
June 25, 1973 - January 4, 1977
LOEB, RHOADES & CO. INC.
October 29, 1968 - August 12, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 10/25/1968
Registered Representative ExaminationSeries 40
Date: 9/10/1975
Registered Principal 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
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.
