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Robert Anthony Diodato

CRD# 1353316·Registered 1985 - 1989
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Anthony Diodato was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1985 - 1989. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
April 12, 1989 - November 15, 1989
CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
March 14, 1989 - April 19, 1989
AMERIMUTUAL CORPORATION·CRD# 15573
BD
July 22, 1988 - November 26, 1988
F.D. ROBERTS SECURITIES, INC.·CRD# 693
BD
June 16, 1987 - July 30, 1988
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
April 16, 1987 - July 14, 1987
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
March 20, 1987 - August 3, 1987
WAKEFIELD FINANCIAL CORPORATION·CRD# 11064
BD
October 22, 1985 - October 3, 1986
EQUITABLE SECURITIES OF NEW YORK,INC.·CRD# 14583
BD
April 23, 1985 - May 21, 1985
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
April 23, 1985 - October 23, 1985

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Current Firm

JW
J. W. GANT & ASSOCIATES, INC.

J. W. GANT & ASSOCIATES, INC. | TRINITY SECURITIES OF TEXAS, INC.

CRD#: 7963 / SEC#: 8-30910
BD
Cancelled by FINRA on 08/17/1992

Contact Information

Established

Illinois since 12/27/1985

Firm Type

Corporation

Fiscal Year End

June

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1985About the Series 7 exam

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CRS (Client Relationship Summary)

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

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