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CS

Cecilia M. Schiffer

Some features on this profile are disabled
CRD#: 2187044
CS

Professional summary

Cecilia Marie Dicaprio Schiffer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cecilia is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Cecilia had worked at 7 firms, which includes MERRIMAC CORPORATE SECURITIES INC., GUNNALLEN FINANCIAL INC, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., CAPITAL SECURITIES OF AMERICA INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS FINANCIAL GROUP INC, CHARLES SCHWAB & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cecilia Marie Dicaprio

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

October 10, 2007 - February 26, 2013

MERRIMAC CORPORATE SECURITIES, INC.

BD
CRD#: 35463
ORLANDO, FL
Past

September 26, 2006 - October 12, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ORLANDO, FL
Past

November 4, 2005 - August 30, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
ORLANDO, FL
Past

February 6, 2004 - October 31, 2005

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

January 2, 2001 - February 27, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 12, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

July 8, 1998 - October 1, 1998

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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: 3/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1998
General Securities Representative Examination

Current Firm

MC
MERRIMAC CORPORATE SECURITIES, INC.
MERRIMAC ASSET MANAGEMENT | MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463 / SEC#: , 8-46721

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
1150 Douglas Ave Ste 1080, Altamonte Springs, FL 32714
Mailing Address
Phone number
Established
New Hampshire since 10/20/1993
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TEAM ADVISORY CORPORATE, INC.SHAREHOLDER

Disclosures

Regulatory Event7
Arbitration2

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

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

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