James R. Dipisa
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.
James Robert Dipisa, who also goes by Jim Robert Dipisa, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2019 - October 18, 2023
ROBERTSON STEPHENS
November 5, 2019 - October 18, 2023
ROBERTSON STEPHENS CAPITAL MARKETS, LLC
May 26, 2016 - March 27, 2018
CREDIT SUISSE SECURITIES (USA) LLC
November 8, 2013 - April 27, 2016
PURSHE KAPLAN STERLING INVESTMENTS
October 27, 2011 - May 22, 2013
GOLDMAN SACHS & CO. LLC
September 6, 2007 - November 14, 2011
REDI GLOBAL TECHNOLOGIES LLC
July 25, 2007 - November 14, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 24, 2006 - February 20, 2007
INTL FCSTONE PARTNERS L.P.
Primary Firm SEC Registration
ROBERTSON STEPHENS
CRD#: 289977 / SEC#: 801-111814
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
Series 55
Date: 1/20/2011
Limited Representative-Equity Trader ExamSeries 72
Date: 8/23/2006
Government Securities Representative ExaminationCurrent Firm
ROBERTSON STEPHENS
CRD#: 289977 / SEC#: 801-111814
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,419 |
| AUM (Assets Under Management) | $ 7,139,384,497 |
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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