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RD

Rigoberto P. Dapena

CGIS SECURITIES LLC
MIAMI, FL 33132
Some features on this profile are disabled
CRD#: 1457405
RD

Professional summary

Rigoberto P Dapena, who also goes by Riggin Dapena, Rigoberto P Riggin, is a registered financial professional currently at CGIS SECURITIES LLC located in Miami, Florida.

Rigoberto is registered as a RR (Registered Representative) and started their career in finance in 1986. Rigoberto has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Riggin Dapena | Rigoberto P Riggin

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) - BD

Click below to view Rigoberto P Dapena's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 2, 2013 - Present

CGIS SECURITIES LLC

Office #1: 990 Biscayne Blvd Suite 0-901, Miami, FL 33132
BD
CRD#: 155984
MIAMI, FL
Past

October 30, 2019 - February 14, 2022

CGIS ADVISORS LLC

RIA
CRD#: 305262
MIAMI, FL
Past

March 11, 2014 - December 20, 2017

CGIS ADVISORS LLC

RIA
CRD#: 170161
MIAMI, FL
Past

February 25, 2010 - August 8, 2013

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
FORT LAUDERDALE, FL
Past

February 17, 2010 - August 8, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
FORT LAUDERDALE, FL
Past

August 11, 2009 - March 10, 2010

MORGAN STANLEY

BD
CRD#: 149777
BOCA RATON, FL
Past

August 6, 2009 - March 10, 2010

MORGAN STANLEY

RIA
CRD#: 149777
BOCA RATON, FL
Past

February 4, 2005 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MIAMI, FL
Past

February 1, 2005 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
MIAMI, FL
Past

October 1, 1999 - February 15, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
MIAMI, FL
Past

September 27, 1999 - February 15, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 5, 1994 - September 28, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 8, 1989 - April 28, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 30, 1989 - November 13, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 19, 1986 - November 8, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/28/2021)
RR
Connecticut
(9/9/2013)
RR
Florida
(8/2/2013)
RR
New York
(6/3/2021)
RR
Puerto Rico
(9/4/2013)
RR
Texas
(5/14/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/24/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/24/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/17/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CS
CGIS SECURITIES LLC
CGIS SECURITIES LLC

CRD#: 155984 / SEC#: , 8-68758

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
990 Biscayne Blvd Suite 0-901, Miami, FL 33132
Mailing Address
990 Biscayne Blvd Suite 0-901, Miami, FL 33132
Phone number
(305) 507-4544
Established
Delaware since 08/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CGIS HOLDINGS LLCOWNER/MANAGING MEMBER
DAPENA, RIGOBERTO PCEO1457405
GILMAN, ROBERT CRAIGFINOP/CFO/PFO/POO1738412
RODRIGUEZ, JACQUELINECCO/AMLCO6324280

Red Flags

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.

Company Information

CGIS SECURITIES LLC

CRD#: 155984Miami, FL 33132

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