Dinesh Jain
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.
Dinesh Jain, who also goes by Dinesh Dennis Jain, was a registered financial professional .
Dinesh is a previously registered financial professional and started their career in finance in 1996. Dinesh had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2025 - November 20, 2025
ADELPHI STOCK BROKERS
March 16, 2018 - November 8, 2024
BNP PARIBAS SECURITIES CORP.
August 19, 2008 - July 19, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
October 1, 1997 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
June 26, 1996 - October 1, 1997
MONTGOMERY SECURITIES
February 2, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 2, 1996 - January 29, 2001
EQUITABLE ADVISORS, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ADELPHI STOCK BROKERS
CRD#: 309048 / SEC#: , 8-70519
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
