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Charles A Dimaggio

CRD# 2443379·Registered 1994 - 1997
Barred: Charles A Dimaggio was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Charles A Dimaggio, who also goes by Charlie A Dimaggie, Charlie A Dimaggio, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1994 - 1997. Charles had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Charlie A Dimaggie, Charlie A Dimaggio

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

FIRST NATIONAL EQUITY, CORP.·CRD# 36094
BD
Pt. Pleasant Beach, NJ
June 16, 1997 - December 8, 1997
ARGENT SECURITIES, INC.·CRD# 15297
BD
Atlanta, GA
April 21, 1997 - June 16, 1997
INVESTORS ASSOCIATES, INC.·CRD# 958
BD
Hackensack, NJ
October 2, 1996 - May 28, 1997
EURO-ATLANTIC SECURITIES INC.·CRD# 21367
BD
Boca Raton, FL
August 16, 1996 - November 27, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION·CRD# 21846
BD
New York, NY
May 17, 1995 - July 29, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION·CRD# 21846
BD
New York, NY
February 27, 1995 - April 6, 1995
VISION INVESTMENT GROUP, INC.·CRD# 28135
BD
January 6, 1995 - January 24, 1995
TEXAS CAPITAL SECURITIES, INC.·CRD# 25564
BD
Houston, TX
November 17, 1994 - November 28, 1994
THE WELLINGTON GROUP, INC.·CRD# 17814
BD
New York, NY
November 14, 1994 - November 21, 1994
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
July 13, 1994 - September 29, 1994

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Current Firm

FN
FIRST NATIONAL EQUITY, CORP.

FIRST NATIONAL EQUITY, CORP. | J.S. SECURITIES, INC.

CRD#: 36094 / SEC#: 8-47059
BD
Terminated by SEC on 05/05/1998

Contact Information

Established

New Jersey since 01/10/1994

Firm Type

Corporation

Fiscal Year End

September

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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