BV
Bertrand G. Viaud
CIBC WORLD MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 3250556
BV
Professional summary
Bertrand Guy Viaud is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Bertrand is registered as a RR (Registered Representative) and started their career in finance in 1999. Bertrand has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bertrand Guy Viaud'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
February 14, 2024 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017Office #2: 300 Madison Avenue Sixth Floor, New York, NY 10017BD
CRD#: 630
New York, NY
Past
February 10, 2021 - February 20, 2024
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
December 20, 2019 - January 15, 2021
AEL FINANCIAL SERVICES, LLC
BD
CRD#: 300285
New York, NY
Past
December 4, 2018 - February 17, 2020
PALMER CAPITAL ADVISORS, LLC
BD
CRD#: 285420
NEW YORK, NY
Past
October 10, 2011 - September 18, 2017
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
July 6, 2009 - September 26, 2011
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
October 20, 2006 - May 25, 2010
COMMERZBANK CAPITAL MARKETS CORP.
BD
CRD#: 21787
NEW YORK, NY
Past
September 8, 2004 - August 2, 2006
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
September 15, 1999 - November 9, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/14/2024)
RR
Alaska(2/14/2024)
RR
Arizona(2/14/2024)
RR
Arkansas(2/14/2024)
RR
California(2/14/2024)
RR
Colorado(2/14/2024)
RR
Connecticut(2/14/2024)
RR
Delaware(2/14/2024)
RR
District of Columbia(2/14/2024)
RR
Florida(2/14/2024)
RR
Georgia(2/14/2024)
RR
Hawaii(2/14/2024)
RR
Idaho(2/14/2024)
RR
Illinois(2/14/2024)
RR
Indiana(2/14/2024)
RR
Iowa(2/14/2024)
RR
Kansas(2/14/2024)
RR
Kentucky(2/14/2024)
RR
Louisiana(2/14/2024)
RR
Maine(2/14/2024)
RR
Maryland(2/14/2024)
RR
Massachusetts(2/14/2024)
RR
Michigan(2/14/2024)
RR
Minnesota(2/14/2024)
RR
Mississippi(2/14/2024)
RR
Missouri(2/14/2024)
RR
Montana(2/14/2024)
RR
Nebraska(2/14/2024)
RR
Nevada(2/14/2024)
RR
New Hampshire(2/14/2024)
RR
New Jersey(2/14/2024)
RR
New Mexico(2/14/2024)
RR
New York(2/14/2024)
RR
North Carolina(2/14/2024)
RR
North Dakota(2/14/2024)
RR
Ohio(2/14/2024)
RR
Oklahoma(2/14/2024)
RR
Oregon(2/14/2024)
RR
Pennsylvania(2/14/2024)
RR
Puerto Rico(2/14/2024)
RR
Rhode Island(2/14/2024)
RR
South Carolina(2/14/2024)
RR
South Dakota(2/14/2024)
RR
Tennessee(2/14/2024)
RR
Texas(2/14/2024)
RR
Utah(2/14/2024)
RR
Vermont(2/14/2024)
RR
Virginia(2/14/2024)
RR
Washington(2/14/2024)
RR
West Virginia(2/14/2024)
RR
Wisconsin(2/14/2024)
RR
Wyoming(2/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.
CRD#: 630 / SEC#: , 8-18333
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
