Dominick J. Dalpizzol
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.
Dominick John Dalpizzol, who also goes by Dj Dalpizzol, was a registered financial professional .
Dominick is a previously registered financial professional and started their career in finance in 1998. Dominick had worked at 8 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
September 15, 2015 - March 14, 2017
NATHAN HALE CAPITAL, LLC
May 31, 2012 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
March 12, 2012 - March 14, 2012
CITATION FINANCIAL GROUP, L.P.
March 12, 2012 - February 20, 2015
W.A. CAPITAL MARKETS
January 2, 2008 - February 29, 2012
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 10, 2004 - June 13, 2007
PREBON SECURITIES (USA) INC.
November 10, 2004 - October 29, 2007
PREBON FINANCIAL PRODUCTS INC.
June 25, 2003 - November 1, 2004
AMHERST SECURITIES GROUP, L.P.
July 31, 1999 - July 10, 2003
PREBON SECURITIES (USA) INC.
July 31, 1999 - July 10, 2003
PREBON FINANCIAL PRODUCTS INC.
September 18, 1998 - June 28, 1999
ICAP SECURITIES USA LLC
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
NATHAN HALE CAPITAL, LLC
CRD#: 123650 / SEC#: , 8-65603
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALARPE, GARY CHRISTOPHER | CHIEF COMPLIANCE OFFICER/FIN-OP | 2384835 |
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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