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Michael R. Diperna

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CRD#: 1564479
MD

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.

Michael Ray Diperna was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

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

April 8, 2013 - May 11, 2017

STERN BROTHERS & CO.

BD
CRD#: 16325
ST. LOUIS, MO
Past

March 21, 2003 - July 6, 2011

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
COLUMBUS, OH
Past

October 1, 1997 - April 24, 2003

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

October 22, 1986 - October 9, 1997

SECURITIES RESOLUTION CORPORATION

BD
CRD#: 7119
MINNEAPOLIS, MN

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: 3/11/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/25/2011
Municipal Securities Principal Examination

Current Firm

SB
STERN BROTHERS & CO.
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

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

Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Phone number
(314) 727-5519
Established
Missouri since 01/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 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#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDEDTRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012TRUST
CLEMENTS, DONALD SIDNEYCHIEF TECHNOLOGY OFFICER4440518
ESSERT, GLENN EDWARDCHIEF COMPLIANCE OFFICER, AMLCO1447868
FINN, PEGGY PRINCECHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE730640
FINN, TERRENCE MICHAELPRESIDENT, DIRECTOR1102166
MIRIANI, JASON ANDREWCFO, TREASURER4547660
WARREN, KAREN KAYPRINCIPAL OPERATIONS OFFICER1316200

Disclosures

Regulatory Event1

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

STERN BROTHERS & CO.

CRD#: 16325

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