Craig D. Dima
Professional summary
Craig David Dima was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Craig is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Craig had worked at 17 firms, which includes K.C. WARD FINANCIAL, AMERICAN CAPITAL PARTNERS LLC, ANDREW GARRETT INC., LH ROSS & COMPANY INC., HARRISON SECURITIES INC., FIRST MONTAUK SECURITIES CORP., STERLING FINANCIAL INVESTMENT GROUP INC., JOSEPH CHARLES & ASSOC. INC., SCHNEIDER SECURITIES INC., ASH FINANCIAL CORP., LEGEND MERCHANT GROUP INC., PACIFIC CORTEZ SECURITIES INCORPORATED, FIRST ASSET MANAGEMENT INC., FOSTER JEFFRIES SECURITIES LLC, ANDREW ALEXANDER WISE & COMPANY INCORPORATED, MEYERS POLLOCK ROBBINS INC., R.M. STARK & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2009 - February 21, 2017
K.C. WARD FINANCIAL
November 4, 2008 - October 19, 2009
AMERICAN CAPITAL PARTNERS, LLC
November 24, 2004 - November 12, 2008
ANDREW GARRETT INC.
May 5, 2003 - December 17, 2004
LH ROSS & COMPANY, INC.
October 3, 2002 - May 27, 2003
HARRISON SECURITIES, INC.
June 22, 2001 - October 7, 2002
FIRST MONTAUK SECURITIES CORP.
November 20, 2000 - May 16, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 5, 1999 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
February 17, 1998 - May 21, 1998
SCHNEIDER SECURITIES, INC.
November 12, 1997 - February 6, 1998
ASH FINANCIAL CORP.
November 10, 1997 - January 6, 1998
LEGEND MERCHANT GROUP, INC.
August 23, 1997 - August 29, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
February 18, 1997 - July 31, 1997
FIRST ASSET MANAGEMENT, INC.
November 4, 1996 - January 20, 1997
FOSTER JEFFRIES SECURITIES, LLC
August 22, 1996 - October 7, 1996
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
May 25, 1995 - August 7, 1996
MEYERS POLLOCK ROBBINS, INC.
January 11, 1995 - June 15, 1995
R.M. STARK & CO., INC.
May 6, 1994 - February 8, 1995
FIRST ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
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Exams
Current Firm
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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