Anthony N. Dimaso

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CRD#: 2312201

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.

Anthony Nicholas Dimaso, who also goes by Nick Dimaso, Tony N Dimaso, Tony Nick Dimaso, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1995. Anthony had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nick Dimaso | Tony N Dimaso | Tony Nick Dimaso

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

May 2, 2011 - July 15, 2019

GUIDANT WEALTH ADVISORS

RIA

CRD#: 123383

PALATINE, IL

Past

April 2, 2009 - May 2, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

PALATINE, IL

Past

April 2, 2009 - January 15, 2019

LPL FINANCIAL LLC

CRD#: 6413

PALATINE, IL

Past

May 7, 2007 - September 10, 2008

MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.

RIA

CRD#: 30721

GLENVIEW, IL

Past

May 7, 2007 - September 10, 2008

MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.

CRD#: 30721

GLENVIEW, IL

Past

February 1, 2007 - May 10, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

GLENVIEW, IL

Past

September 13, 2006 - May 10, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GLENVIEW, IL

Past

September 13, 2005 - September 6, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

PARK RIDGE, IL

Past

July 6, 2005 - September 6, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PARK RIDGE, IL

Past

May 27, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

January 2, 1996 - November 14, 1996

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

March 2, 1995 - January 3, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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: 9/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/24/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2007

General Securities Principal Examination

Current Firm

GUIDANT WEALTH ADVISORS

FP FINANCIAL SERVICES, INC. | GUIDANT WEALTH ADVISORS

CRD#: 123383 / SEC#: 801-77713

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Contact information

Main Address

35 West Slade Street, Palatine, IL 60067

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/18/2019)

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.

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Firm Stability Insights

Anthony N. Dimaso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.

MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

MESIROW FINANCIAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2005

Series 63

Date: 5/29/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/17/2005

Series 6

Date: 5/24/2002

Series 24

Date: 8/9/2007

Current Firm

GUIDANT WEALTH ADVISORS

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

GUIDANT WEALTH ADVISORS

TRUST BUT VERIFY

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