Christopher John Gimblet | Financial Professional

Professional summary

Christopher John Gimblet was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher John Gimblet, who also goes by Chris Gimblet, was a registered financial advisor .

Christopher is a previously registered financial advisor and started their career in finance in 1999. Christopher had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Chris Gimblet

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®

None

Experience

Past

May 14, 2015 - August 17, 2015

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

May 12, 2015 - August 17, 2015

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

SAN ANTONIO, TX

Past

March 19, 2014 - January 7, 2015

HALEN CAPITAL

BD

CRD#: 135966

SAN ANTONIO, TX

Past

January 10, 2011 - March 13, 2014

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

BOERNE, TX

Past

November 4, 2010 - March 13, 2014

ADVISORS ASSET MANAGEMENT, INC.

BD

CRD#: 46727

BOERNE, TX

Past

April 14, 2000 - July 28, 2000

KERCHEVILLE & COMPANY, INC.

BD

CRD#: 15871

SAN ANTONIO, TX

Past

March 30, 1999 - April 20, 2000

USAA INVESTMENT SERVICES COMPANY

BD

CRD#: 5475

SAN ANTONIO, TX

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

RR

IAR

Series 66

Date: 1/7/2011

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 4/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 8/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 11/2/2010

General Securities Representative Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher J. Gimblet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

HALEN CAPITAL

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

KERCHEVILLE & COMPANY, INC.

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2011

Series 63

Date: 4/6/1999

SIE

Date: 8/17/2015

Series 7

Date: 11/2/2010

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

Similar Advisors