Jason L. Dipaola
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.
Jason Lynn Dipaola, who also goes by Jay Dipaola, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1995. Jason had worked at 10 firms and has passed the Series 63, SIE 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
May 29, 2013 - May 7, 2019
CHARDAN CAPITAL MARKETS LLC
March 20, 2012 - June 3, 2013
AEGIS CAPITAL CORP.
May 18, 2010 - March 22, 2012
BISHOP, ROSEN & CO., INC.
October 24, 2008 - May 18, 2010
AXIOM CAPITAL MANAGEMENT, INC.
April 17, 2008 - October 23, 2008
LEGEND MERCHANT GROUP, INC.
April 19, 2004 - March 20, 2008
CANACCORD GENUITY SECURITIES LLC
April 4, 2000 - August 9, 2001
UBS FINANCIAL SERVICES INC.
September 25, 1998 - April 13, 2000
CIBC WORLD MARKETS CORP.
January 18, 1996 - September 25, 1998
LEGG MASON WOOD WALKER, INCORPORATED
October 2, 1995 - January 26, 1996
AMERICORP SECURITIES, INC.
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
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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.
