Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROBERT BRADLEY FINCHER
BRAD FINCHER, BRADLEY FINCHER
CRD#: 4168267
IA
Investment Adviser
B
Broker
CIBC PRIVATE WEALTH ADVISORS, INC.CRD#: 109644 100 North Tampa Street
Suite 1645
Tampa, FL 33602
CIBC WORLD MARKETS CORP.CRD#: 630 100 North Tampa Street
Suite 1645
Tampa, FL 33602
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (1 year)2 FIRMS2011 - 2016 (4 years)IACIBC PRIVATE WEALTH ADVISORS, INC. (CRD# 109644)2024 - Present (1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)2016 - Present (9 years)
Disclosure(s)
View By:
9/22/2017
Financial
Final
License(s)

State Registrations

B
California 3/25/2016
B
Montana 3/28/2016
B
Connecticut 3/28/2016
B
Nebraska 3/25/2016
B
District of Columbia 3/25/2016
B
New Jersey 4/5/2016
B
Florida 5/5/2016
B
North Carolina 3/30/2016
IA
Florida 1/25/2024
B
North Dakota 3/30/2016
B
Idaho 3/28/2016
B
Ohio 3/25/2016
B
Illinois 3/25/2016
B
Oregon 3/25/2016
B
Kansas 3/31/2016
B
Pennsylvania 3/25/2016
B
Kentucky 3/28/2016
B
Rhode Island 3/28/2016
B
Maine 3/25/2016
B
Texas 4/9/2016
B
Maryland 4/29/2016
B
Utah 3/25/2016
B
Massachusetts 3/25/2016
B
Virginia 3/25/2016
B
Michigan 3/28/2016
B
Wisconsin 3/25/2016
B
Missouri 4/4/2016

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CIBC PRIVATE WEALTH ADVISORS, INC. (CRD#:109644)
100 North Tampa Street Suite 1645, Tampa, FL 33602
Registered with this firm since 1/25/2024
B
CIBC WORLD MARKETS CORP. (CRD#:630)
100 North Tampa Street Suite 1645, Tampa, FL 33602
Registered with this firm since 3/24/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/05/2011 - 03/09/2016 ALLIANCEBERNSTEIN L.P. (CRD#:108477) TAMPA, FL
B
 07/04/2011 - 03/09/2016 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) TAMPA, FL
B
 06/26/2000 - 11/15/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/26/2000 - 11/15/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.