RD
Rhonda D. Dupree
GMS GROUP
Houston, TX 77056
Some features on this profile are disabled
CRD#: 1936303
RD
Professional summary
Rhonda Denise Dupree, who also goes by Rhonda Dupree Cisarik, Rhonda Cisarik, is a registered financial professional currently at GMS GROUP located in Houston, Texas.
Rhonda is registered as a RR (Registered Representative) and started their career in finance in 1990. Rhonda has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rhonda Dupree Cisarik | Rhonda Cisarik
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.
CRS (Client Relationship Summary) - BD
Click below to view Rhonda Denise Dupree's 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®
NoneExperience
Current
June 17, 1997 - Present
GMS GROUP
Office #1: 5075 Westheimer - Suite 1175, Houston, TX 77056RIA
BD
CRD#: 8000
Houston, TX
Past
September 19, 1996 - June 17, 1997
HARRIS WEBB & GARRISON, INC.
BD
CRD#: 28188
HOUSTON, TX
Past
October 4, 1990 - July 23, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
Texas(6/17/1997)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Mailing Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Phone number
(973) 535-5000
Established
Delaware since 03/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
