Dean D. Giasi
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.
Dean Daniell Giasi, who also goes by Dean Daniel Giasi, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1995. Dean had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2005 - April 21, 2006
GREAT EASTERN SECURITIES, INC.
August 30, 2000 - September 27, 2005
SALOMON GREY FINANCIAL CORPORATION
November 25, 1998 - October 27, 2000
LCP CAPITAL CORP.
June 19, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
November 4, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
September 5, 1996 - October 3, 1997
WILLIAM SCOTT & CO. L.L.C.
September 22, 1995 - September 24, 1996
LCP CAPITAL 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
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
