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DL

David R. Lippa

Some features on this profile are disabled
CRD#: 1696616
DL

Professional summary

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

David is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, David had worked at 8 firms, which includes C. J. M. PLANNING CORP., CARILLON INVESTMENTS INC., LEIGH BALDWIN & CO. LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., PMG SECURITIES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Robert Jr Lippa

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

March 30, 2001 - December 13, 2001

C. J. M. PLANNING CORP.

BD
CRD#: 5698
POMPTON LAKES, NJ
Past

September 14, 1999 - December 4, 2000

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

November 18, 1997 - August 26, 1999

LEIGH BALDWIN & CO., LLC

BD
CRD#: 38751
CAZENOVIA, NY
Past

October 20, 1997 - November 18, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 17, 1995 - October 30, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 5, 1993 - June 29, 1994

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

October 27, 1989 - March 3, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

October 27, 1989 - March 3, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

July 9, 1987 - March 3, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
IAR
Series 65
Date: 12/22/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/8/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 3/31/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CJ
C. J. M. PLANNING CORP.
C. J. M. PLANNING CORP.

CRD#: 5698 / SEC#: , 8-16421

BD
Terminated by SEC on 02/11/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 03/10/1971
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S. CHARLES & MARY A. MUSUMECI IRREVOCABLE TRUST I100% OWNER
APPELSON, STUART DAVIDFINANCIAL OPERATIONS PRINCIPLE (FINOP)2176520
BOGAN, MATTHEW ROBERTSROP2794840
GANDET, MICHAEL ALBERT JRCOMPLIANCE OFFICER2279907
MUSUMECI, JOSEPH CHARLESCEO, TRUSTEE821112
MUSUMECI, SALVATORE CHARLES JRPRESIDENT, TRUSTEE/CCO705556

Disclosures

Regulatory Event4

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

C. J. M. PLANNING CORP.

CRD#: 5698

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