DS
Douglas A. Shrieve
GIMBAL FINANCIAL
Carmel, IN 46032
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CRD#: 3159316
DS
Professional summary
Douglas Allen Shrieve is a registered financial advisor currently at GIMBAL FINANCIAL, LLC located in Carmel, Indiana.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Douglas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 9/18/2012: OTHER-AUTHOR - KEITH TYNER, C6TA AND OSJ OF OUR BRANCH #9782, WROTE A BOOK TITLED "FINANCIAL SURVIVORS". THE BOOK HAS BEEN COMPLIANCE APPROVED AND HAS BEEN PUBLISHED. OUR OFFICE WILL SELL THE BOOK TO BUYERS IN THE MARKETPLACE. - NOT INVESTMENT RELATED - TIME SPENT 1% - FISHERS, IN. 2. 9/18/2012: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - GIMBAL FINANCIAL - INVESTMENT RELATED - TIME SPENT 100% - FISHERS, IN. 3. 9/19/2012: REGISTERED INVESTMENT ADVISOR - GIMBAL FINANCIAL, LLC - (HYBRID) PROVIDES FINANCIAL PLANNING AND ASSET MANAGEMENT FOR A FEE. - INVESTMENT RELATED - TIME SPENT 100% - FISHERS, IN. 4. 1/23/2014: NON-VARIABLE INSURANCE - GIMBAL FINANCIAL - SELLING LIFE INSURANCE THROUGH RUSHING FINANCIAL. - INVESTMENT RELATED - TIME SPENT 1% - FISHERS, IN. 5. 5/11/2021 - Gimbal Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 01/01/2021 - 40 Hours Per Month/33 Hours During Securities Trading - I provide investment advisory services through Gimbal Financial, independent investment advisor firm. I started this business activity in 5/2021. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Allen Shrieve's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 26, 2011 - Present
GIMBAL FINANCIAL, LLC
Office #1: 620 N. Rangeline Road, Carmel, IN 46032RIA
CRD#: 159003
Carmel, IN
Past
August 5, 2003 - November 2, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARMEL, IN
Past
August 5, 2003 - July 18, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
CARMEL, IN
Past
May 10, 2001 - August 13, 2003
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
INDIANAPOLIS, IN
Past
August 1, 2000 - August 13, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
April 28, 1999 - July 31, 2000
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
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".
GF
GIMBAL FINANCIAL, LLC
GIMBAL FINANCIAL, LLC
CRD#: 159003 / SEC#: 801-110875
RIA
Registered Investment Advisory firm - (7/24/2017 Approved)Florida
Registered Investment Advisory firm - (8/15/2017 Terminated)Illinois
Registered Investment Advisory firm - (7/24/2017 Terminated)Indiana
Registered Investment Advisory firm - (8/17/2017 Terminated)Kentucky
Registered Investment Advisory firm - (8/16/2017 Terminated)Louisiana
Registered Investment Advisory firm - (8/15/2017 Terminated)Ohio
Registered Investment Advisory firm - (8/15/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(3/13/2012)
IAR
Indiana(10/26/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GF
GIMBAL FINANCIAL, LLC
GIMBAL FINANCIAL, LLC
CRD#: 159003 / SEC#: 801-110875
RIA
Registered Investment Advisory firm - (7/24/2017 Approved)Florida
Registered Investment Advisory firm - (8/15/2017 Terminated)Illinois
Registered Investment Advisory firm - (7/24/2017 Terminated)Indiana
Registered Investment Advisory firm - (8/17/2017 Terminated)Kentucky
Registered Investment Advisory firm - (8/16/2017 Terminated)Louisiana
Registered Investment Advisory firm - (8/15/2017 Terminated)Ohio
Registered Investment Advisory firm - (8/15/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 N. Rangeline Road, Carmel, IN 46032
Mailing Address
Phone number
(317) 578-1600
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 253,177,785 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
