Giacomo M. Dipiazza
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.
Giacomo Massimiliano Dipiazza, who also goes by Giacomo M Dipiazza, James M Dipiazza, was a registered financial professional .
Giacomo is a previously registered financial professional and started their career in finance in 2000. Giacomo had worked at 4 firms and has passed the Series 66, 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 9, 2013 - December 19, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 25, 2009 - September 12, 2013
PFS INVESTMENTS INC.
May 4, 2006 - October 17, 2007
VOYA FINANCIAL ADVISORS, INC.
May 3, 2006 - October 17, 2007
VOYA FINANCIAL ADVISORS, INC.
February 3, 2005 - April 17, 2006
VOYA FINANCIAL ADVISORS, INC.
November 9, 2004 - April 17, 2006
VOYA FINANCIAL ADVISORS, INC.
April 20, 2001 - January 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2000 - January 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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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