Michael T. Dipuppo
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.
Michael Thomas Dipuppo JR, who also goes by Michael Thomas Dipuppo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2019 - April 17, 2020
CITIZENS SECURITIES, INC.
January 17, 2019 - April 17, 2020
CITIZENS SECURITIES, INC.
March 30, 2016 - August 3, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 17, 2011 - February 12, 2016
MSI FINANCIAL SERVICES, INC.
June 7, 2011 - February 12, 2016
MSI FINANCIAL SERVICES, INC.
March 11, 2010 - October 28, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 9, 2008 - July 31, 2009
PNC WEALTH MANAGEMENT LLC
March 12, 2007 - July 31, 2009
PNC WEALTH MANAGEMENT LLC
June 13, 2003 - March 13, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 27, 2003 - June 20, 2003
PFS INVESTMENTS INC.
February 14, 1996 - November 9, 1998
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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 7TO
Date: 6/17/2024
General Securities Representative ExaminationSeries 6TO
Date: 6/17/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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