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Evan L. Dipaolo

Some features on this profile are disabled
CRD#: 2946678
ED

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.

Evan Louis Dipaolo was a registered financial professional .

Evan is a previously registered financial professional and started their career in finance in 1997. Evan had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 23, 2012 - December 26, 2018

GARRISON SECURITIES LLC

BD
CRD#: 159427
NEW YORK, NY
Past

December 8, 2011 - November 7, 2012

OMNICAP, LLC

BD
CRD#: 137353
NEW YORK, NY
Past

January 12, 2004 - September 30, 2005

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

February 7, 2001 - March 18, 2002

VENCAST SECURITIES, LLC

BD
CRD#: 103707
NEW YORK, NY
Past

June 11, 1998 - July 13, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 3, 1997 - February 6, 2001

E.A. MOOS & CO. L.P.

BD
CRD#: 7606
SUMMIT, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2011
General Securities Representative Examination

Current Firm

GS
GARRISON SECURITIES LLC
GARRISON SECURITIES LLC

CRD#: 159427 / SEC#: , 8-68985

BD
Terminated by SEC on 03/31/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/20/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GARRISON STRATEGIC ADVISORS LLCPARENT
CHASE, BRIAN STEVENCOO5855556
CHASE, BRIAN STEVENCEO5855556
MEGENITY, BRIAN MCDONALDCHIEF COMPLIANCE OFFICER2889637
MEGENITY, BRIAN MCDONALDFINANCIAL AND OPERATIONS PRINCIPAL (FINOP), CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2889637

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.

Company Information

GARRISON SECURITIES LLC

CRD#: 159427

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