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Robert A. Diminico

Some features on this profile are disabled
CRD#: 1339697
RD

Professional summary

Robert Anthony Diminico was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Robert had worked at 9 firms, which includes NATIONAL SECURITIES CORPORATION, THE BOSTON GROUP, A.S. GOLDMEN & CO. INC., D. H. BLAIR & CO. INC., GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., L. F. ROTHSCHILD & CO. INCORPORATED, CIBC WORLD MARKETS CORP., PERSHING LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 24, 1998 - September 28, 2001

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

March 9, 1995 - July 24, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

August 23, 1991 - April 3, 1995

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

July 24, 1989 - September 5, 1991

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

October 7, 1988 - August 12, 1989

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
Past

August 21, 1987 - October 14, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 18, 1987 - August 24, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

June 26, 1986 - February 12, 1987

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

October 2, 1985 - July 24, 1986

PERSHING LLC

BD
CRD#: 7560
Past

February 21, 1985 - October 7, 1985

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/16/1993
General Securities Principal Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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