Diane L. Dubshinski
Professional summary
Diane Lee Dubshinski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Diane is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Diane had worked at 9 firms, which includes CAPE SECURITIES INC., 1ST DISCOUNT BROKERAGE INC., PGP FINANCIAL INC., MUTUAL SERVICE CORPORATION, EDWARD JONES, BNY MELLON SECURITIES CORPORATION, PATAGON.COM SECURITIES CORP., SEABOARD SECURITIES INC., ADP BROKER-DEALER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2010 - April 4, 2017
CAPE SECURITIES INC.
September 26, 2005 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
May 21, 2004 - June 15, 2005
PGP FINANCIAL, INC.
March 3, 2003 - May 18, 2004
MUTUAL SERVICE CORPORATION
June 27, 2002 - January 6, 2003
EDWARD JONES
December 4, 2000 - June 24, 2002
BNY MELLON SECURITIES CORPORATION
October 24, 2000 - November 28, 2000
PATAGON.COM SECURITIES CORP.
July 12, 2000 - August 24, 2000
SEABOARD SECURITIES, INC.
December 17, 1996 - June 19, 2000
ADP BROKER-DEALER, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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