William Paul Dioguardi
Professional Summary
William Paul Dioguardi, who also goes by William Paul Dioguardi Jr, is a registered financial advisor currently at THIRD SEVEN CAPITAL LLC located in Wall, New Jersey. William is registered as a RR (Registered Representative) and started their career in finance in 1981. William has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Paul Dioguardi Jr
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC
Contact Information
Main Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830Phone Number
(917) 602-6153Established
Delaware since 07/06/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(2/7/2017)
(2/6/2017)
(2/8/2017)
(2/15/2017)
(1/3/2017)
(2/6/2017)
(1/19/2017)
(3/6/2017)
(2/1/2017)
(1/3/2017)
(2/22/2017)
(3/17/2017)
(1/19/2017)
(2/8/2017)
(2/3/2017)
(1/19/2017)
(2/8/2017)
(1/23/2017)
(1/23/2017)
(3/9/2017)
(1/19/2017)
(1/19/2017)
(2/2/2017)
(2/9/2017)
(1/20/2017)
(2/9/2017)
(1/27/2017)
(5/2/2017)
(1/19/2017)
(3/28/2017)
(1/3/2017)
(3/2/2017)
(1/3/2017)
(1/19/2017)
(3/10/2017)
(1/30/2017)
(1/19/2017)
(2/28/2017)
(1/19/2017)
(2/28/2017)
(2/2/2017)
(2/7/2017)
(1/19/2017)
(7/13/2023)
(1/19/2017)
(1/23/2017)
(2/6/2017)
(2/23/2017)
(1/19/2017)
(1/24/2017)
(2/9/2017)
(2/6/2017)
(2/6/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1993SRO Registrations
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view William Paul Dioguardi's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT FINANCIAL, LLC
RBC CAPITAL MARKETS, LLC