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DD

David J. Dipaolo

STAR MOUNTAIN ADVISORS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 3202695
DD

Professional summary

David Joseph Dipaolo is a registered financial professional currently at STAR MOUNTAIN ADVISORS, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 3 firms and has passed the Series 63, Series 79TO, 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) - BD

Click below to view David Joseph Dipaolo's CRS (Customer Relationship Summary).

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

Current

April 1, 2016 - Present

STAR MOUNTAIN ADVISORS, LLC

Office #1: 2 Grand Central Tower 140 East 45th Street 30th Floor Suite 30a, New York, NY, 10017
BD
CRD#: 153505
NEW YORK, NY
Past

January 25, 2002 - December 1, 2015

BROOKS, HOUGHTON SECURITIES, INC.

BD
CRD#: 27514
NEW YORK, NY
Past

May 12, 1999 - June 6, 2001

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

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: 5/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SM
STAR MOUNTAIN ADVISORS, LLC
CADWYN POINT PARTNERS LLC | STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505 / SEC#: , 8-68541

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017
Mailing Address
2 Grand Central Tower 140 East 5th Street 30th Floor, Suite 30a, New York, NY, 10017
Phone number
(646) 787-0257
Established
Delaware since 10/12/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STAR MOUNTAIN HOLDINGS, LPOWNER OF STAR MOUNTAIN ADVISORS LLC
BACH, KRISTINAFINOP/CFO4281682
ERICSON, AUSTIN SHAWNCCO7658879
POLIS, JOHN WILLIAMPRESIDENT/CEO5130204

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

STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505New York, NY 10017

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