Dino H. Aloisio
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.
Dino H Aloisio, who also goes by Dino Hugo Aloisio, was a registered financial professional .
Dino is a previously registered financial professional and started their career in finance in 1992. Dino had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2016 - August 3, 2017
MUTUAL SECURITIES, INC.
July 29, 2016 - March 2, 2018
MUTUAL ADVISORS, LLC
February 17, 2011 - August 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2011 - August 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 2010 - September 29, 2010
U.S. BANCORP ADVISORS, LLC
June 15, 2010 - September 29, 2010
U.S. BANCORP ADVISORS, LLC
April 3, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 3, 2009 - May 24, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2009 - October 14, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 3, 2009 - May 24, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2005 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 6, 2005 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 23, 2002 - January 19, 2005
WELLS FARGO INVESTMENTS, LLC
March 5, 2002 - January 19, 2005
WELLS FARGO INVESTMENTS, LLC
January 31, 1997 - March 6, 2002
CAL FED INVESTMENTS
September 15, 1993 - January 31, 1997
INVEST FINANCIAL CORPORATION
April 23, 1992 - June 1, 1993
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
