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DT

Dale D. Twardowski

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CRD#: 4056379
DT

Professional summary

Dale David Twardowski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dale is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Dale had worked at 2 firms, which includes GEMSTONE SECURITIES LLC, INVEST FINANCIAL CORPORATION.

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

January 28, 2004 - June 11, 2010

GEMSTONE SECURITIES LLC

BD
CRD#: 128267
CLEARWATER, FL
Past

July 3, 2000 - February 27, 2003

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI

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
IAR
Series 66
Date: 1/24/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/8/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/10/2000
Financial and Operations Principal Examination

Current Firm

GS
GEMSTONE SECURITIES LLC
GEMSTONE SECURITIES LLC

CRD#: 128267 / SEC#: , 8-66115

BD
Terminated by SEC on 07/09/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 04/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TWARDOWSKI, DALE DAVIDMANAGING PARTNER, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE PRINCIPAL, FINOP4056379
LIGUORI, TIMOTHYMEMBER, PRINCIPAL4033183

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

GEMSTONE SECURITIES LLC

CRD#: 128267

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