Dimitry Kirtsman
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.
Dimitry Kirtsman was a registered financial professional .
Dimitry is a previously registered financial professional and started their career in finance in 1999. Dimitry had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, 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
March 20, 2013 - June 16, 2021
CITY NATIONAL ROCHDALE
January 18, 2013 - June 16, 2021
CNR SECURITIES, LLC
November 24, 1999 - May 4, 2000
ROTH CAPITAL PARTNERS, LLC
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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: 12/1/2022
General Securities Representative ExaminationCurrent Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
