Alfred A. Dicola
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.
Alfred Anthony Dicola was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 2004. Alfred had worked at 4 firms and has passed the Series 63 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
February 1, 2011 - March 5, 2014
DAVID LERNER ASSOCIATES, INC.
April 8, 2010 - December 31, 2010
PARK AVENUE SECURITIES LLC
November 3, 2008 - August 12, 2009
KESTRA INVESTMENT SERVICES, LLC
January 19, 2007 - September 15, 2008
PRINCIPAL SECURITIES, INC.
October 14, 2004 - January 25, 2007
DAVID LERNER ASSOCIATES, INC.
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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
