Robert B. Dini
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.
Robert Bruce Dini was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1984. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2003 - June 16, 2014
CYPRESS PATH CAPITAL, LLC
July 8, 1997 - March 13, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1995 - March 13, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1995 - May 8, 1995
UBS FINANCIAL SERVICES INC.
April 12, 1988 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 31, 1984 - April 22, 1988
CITIGROUP GLOBAL MARKETS INC.
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 8
Date: 6/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CYPRESS PATH CAPITAL, LLC
CRD#: 133975 / SEC#: 801-64316
Contact information
Regulatory assets under management
| Total Number of Accounts | 135 |
| AUM (Assets Under Management) | $ 69,511,461 |
Red Flags
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