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SD

Steve T. Dippold

Some features on this profile are disabled
CRD#: 4292473
SD

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.

Steve Todd Dippold was a registered financial professional .

Steve is a previously registered financial professional and started their career in finance in 2001. Steve had worked at 3 firms and has passed the Series 63, 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)

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

October 20, 2010 - December 23, 2015

FMV CAPITAL MARKETS, LLC

BD
CRD#: 149974
IRVINE, CA
Past

October 14, 2004 - November 11, 2010

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

January 22, 2001 - April 2, 2003

CITIGROUP GENEVA CAPITAL STRATEGIES INC.

BD
CRD#: 104454
LAGUNA HILLS, CA

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: 2/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2000
General Securities Representative Examination

Current Firm

FC
FMV CAPITAL MARKETS, LLC
FMV CAPITAL MARKETS, INC | FMV CAPITAL MARKETS, LLC

CRD#: 149974 / SEC#: , 8-68207

BD
Terminated by SEC on 04/22/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FMV OPINIONS, INC.MEMBER
SIPOSS, ALLAN ANTHONYSHAREHOLDER4298385
DENNEY, NICOLETTE IRISAFINANCIAL OPERATIONS OFFICER1090644
HALL, LANCE STUARTPRESIDENT/CCO5665286

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

FMV CAPITAL MARKETS, LLC

CRD#: 149974

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