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DR

Dominic P. Rota

Some features on this profile are disabled
CRD#: 4886731
DR

Professional summary

Dominic Paul Rota was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dominic Paul Rota was a registered financial professional .

Dominic is a previously registered financial professional and started their career in finance in 2009. Dominic had worked at 13 firms and has passed the Series 66, SIE and Series 7 exams.

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 6, 2016 - February 23, 2016

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

January 15, 2015 - January 8, 2016

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
New York, NY
Past

August 14, 2014 - December 11, 2014

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
NEW YORK, NY
Past

April 30, 2014 - June 3, 2014

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

March 7, 2014 - May 1, 2014

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

November 12, 2013 - May 2, 2014

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
ISELIN, NJ
Past

June 26, 2013 - October 7, 2013

CORINTHIAN PARTNERS, L.L.C.

BD
CRD#: 38912
NEW YORK, NY
Past

March 14, 2013 - June 18, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

November 21, 2012 - March 19, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

April 4, 2012 - December 7, 2012

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
NEW YORK, NY
Past

March 15, 2011 - March 27, 2012

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
NASSAU,
Past

October 18, 2010 - February 14, 2011

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

May 19, 2010 - October 18, 2010

CHARLES MORGAN SECURITIES, INC.

BD
CRD#: 138887
NEW YORK, NY
Past

September 23, 2009 - May 17, 2010

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
NEW YORK, NY

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: 9/5/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2009
General Securities Representative Examination

Current Firm

WS
WINDSOR STREET CAPITAL, LP
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.

CRD#: 34171 / SEC#: , 8-46219

BD
Cancelled by SEC on 02/05/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MEYERS SECURITIES CORP.GENERAL PARTNER

Disclosures

Regulatory Event37
Arbitration15

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

WINDSOR STREET CAPITAL, LP

CRD#: 34171

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