Robert O. Dia
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.
Robert Owen Dia, who also goes by Rob Dia, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 86, Series 87, SIE, Series 55 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2019 - December 26, 2021
CREDIT SUISSE SECURITIES (USA) LLC
August 23, 2011 - June 1, 2018
PIPER SANDLER & CO.
June 9, 2009 - July 14, 2011
WEEDEN & CO.L.P.
August 28, 2007 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2002 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 1996 - March 27, 2001
GOLDMAN SACHS & CO. LLC
November 16, 1994 - August 22, 1996
JPMSI
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 9/12/2022
General Securities Representative ExaminationSeries 55
Date: 1/13/2005
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
