Dorothy A. Giannotti
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.
Dorothy Ann Giannotti, who also goes by Dorothy Ann Stefano, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1997. Dorothy had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2005 - January 17, 2023
CYPRESS CAPITAL GROUP
June 16, 2001 - June 15, 2005
PNC CAPITAL MARKETS LLC
October 28, 1999 - June 16, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
February 21, 1997 - October 13, 1999
PNC BROKERAGE CORP
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
CYPRESS CAPITAL GROUP
CRD#: 121923 / SEC#: 801-61733
Contact information
Regulatory assets under management
| Total Number of Accounts | 52 |
| AUM (Assets Under Management) | $ 57,489,162 |
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.
