Jeffrey T. Dipane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Thomas Dipane was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2007 - November 13, 2013
SOURCE CAPITAL GROUP, INC.
November 6, 2006 - January 29, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 31, 2006 - January 29, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 27, 2005 - September 28, 2006
CROWELL, WEEDON & CO.
August 17, 2004 - September 28, 2005
WCM PARTNERS, LLC
September 12, 2002 - April 27, 2004
WITENBERG INVESTMENT COMPANIES, INC.
July 16, 1997 - December 13, 2000
SHORELINE TRADING GROUP LLC
July 15, 1994 - August 22, 1996
THE SEIDLER COMPANIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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