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TD

Thomas P. Dine

CHAUNER SECURITIES
Chicago, IL 60642
Some features on this profile are disabled
CRD#: 4396800
TD

Professional summary

Thomas P Dine, who also goes by Thomas Paul Dine, is a registered financial professional currently at CHAUNER SECURITIES, INC. located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Paul Dine

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) - BD

Click below to view Thomas P Dine's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 12, 2024 - Present

CHAUNER SECURITIES, INC.

Office #1: 1400 N Kingsbury Street 3rd Floor, Chicago, IL 60642
BD
CRD#: 10075
Chicago, IL
Past

April 10, 2023 - October 4, 2023

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

September 19, 2017 - October 2, 2023

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

July 10, 2006 - July 27, 2017

CAREY FINANCIAL, LLC

BD
CRD#: 15246
Winnetka, IL
Past

June 2, 2004 - July 5, 2006

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

October 5, 2001 - June 16, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

July 9, 2001 - June 16, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/12/2024)
RR
Alaska
(8/12/2024)
RR
Arizona
(8/12/2024)
RR
Arkansas
(8/12/2024)
RR
California
(8/12/2024)
RR
Colorado
(8/12/2024)
RR
Connecticut
(8/12/2024)
RR
Delaware
(8/12/2024)
RR
District of Columbia
(8/12/2024)
RR
Florida
(8/12/2024)
RR
Georgia
(8/12/2024)
RR
Hawaii
(8/22/2024)
RR
Idaho
(8/12/2024)
RR
Illinois
(8/12/2024)
RR
Indiana
(8/12/2024)
RR
Iowa
(8/12/2024)
RR
Kansas
(8/12/2024)
RR
Kentucky
(8/12/2024)
RR
Louisiana
(8/12/2024)
RR
Maine
(8/12/2024)
RR
Maryland
(8/12/2024)
RR
Massachusetts
(8/12/2024)
RR
Michigan
(8/12/2024)
RR
Minnesota
(8/12/2024)
RR
Mississippi
(8/12/2024)
RR
Missouri
(8/12/2024)
RR
Montana
(8/12/2024)
RR
Nebraska
(8/12/2024)
RR
Nevada
(8/12/2024)
RR
New Hampshire
(8/12/2024)
RR
New Jersey
(8/12/2024)
RR
New Mexico
(8/12/2024)
RR
New York
(8/12/2024)
RR
North Carolina
(8/12/2024)
RR
North Dakota
(8/12/2024)
RR
Ohio
(8/13/2024)
RR
Oklahoma
(8/12/2024)
RR
Oregon
(8/12/2024)
RR
Pennsylvania
(8/12/2024)
RR
Rhode Island
(8/12/2024)
RR
South Carolina
(8/12/2024)
RR
South Dakota
(8/12/2024)
RR
Tennessee
(8/12/2024)
RR
Texas
(8/12/2024)
RR
Utah
(8/12/2024)
RR
Vermont
(8/12/2024)
RR
Virginia
(8/12/2024)
RR
Washington
(8/12/2024)
RR
West Virginia
(8/12/2024)
RR
Wisconsin
(8/12/2024)
RR
Wyoming
(8/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/21/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CHAUNER SECURITIES, INC.
CHAUNER & COTTER, INC. | CHAUNER, GRAVER & ASSOCIATES, INC. | CHAUNER, COTTER & GRAVER, INC. | CHAUNER SECURITIES, INC.

CRD#: 10075 / SEC#: , 8-33980

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Mailing Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Phone number
(847) 509-8880
Established
Illinois since 04/10/1985
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SARAH C. CYPHERS TRUSTTRUST
CHAUNER, FRANK BYRONVICE PRESIDENT735725
CYPHERS, SARAH C.PRESIDENT, CHIEF COMPLIANCE OFFICER, TRUSTEE4691733

Disclosures

Regulatory Event1

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

CHAUNER SECURITIES, INC.

CRD#: 10075Chicago, IL 60642

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