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Kimberly Anne Dwan-Bernatz

Cibc Private Wealth Advisors, Inc.

Newport Beach, CA

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Current Employers
Cibc Private Wealth Advisors, Inc.

181 West Madison Street 36Th Floor, Chicago, IL 60602 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-09-23
  • CA RA
    APPROVED
    Since 2021-09-23

Branch Locations

520 Newport Center Suite 700, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First American Trust Santa Ana CA 05/2001 08/2018
Cibc Private Wealth Advisors, Inc Newport Beach CA 08/2018 Present
Previous Registrations
  • 2001-08-20 → 2010-06-21
    First American Trust
    Santa Ana, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-09-29
S65 Uniform Investment Adviser Law Examination 2001-08-13
  • S63 Uniform Securities Agent State Law Examination
    2018-09-29
  • S65 Uniform Investment Adviser Law Examination
    2001-08-13
Designations
Other Names
  • Kimberly Dwan Whalen
  • Kimberly Ann Dwan

View on SEC IAPD

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