AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DD

Dennis M. Dicicco

Some features on this profile are disabled
CRD#: 5591976
DD

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.

Dennis Michael Dicicco was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2009. Dennis had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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

March 12, 2014 - August 18, 2014

CAPITAL SECURITY ADVISORS LLC

RIA
CRD#: 170059
BOSTON, MA
Past

October 10, 2012 - September 24, 2013

CANTOR FITZGERALD & CO.

BD
CRD#: 134
BOSTON, MA
Past

May 24, 2011 - October 16, 2012

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BOSTON, MA
Past

July 22, 2010 - May 18, 2011

WEDBUSH SECURITIES INC.

BD
CRD#: 877
BOSTON, MA
Past

March 4, 2010 - June 4, 2010

FINACORP SECURITIES

BD
CRD#: 41569
BOSTON, MA
Past

August 27, 2009 - March 3, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
HOBOKEN, NJ

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
IAR
Series 65
Date: 3/11/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2009
General Securities Principal Examination

Current Firm

CS
CAPITAL SECURITY ADVISORS LLC
CAPITAL SECURITY ADVISORS LLC

CRD#: 170059 / SEC#: 802-80250

Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
98 North Washington Street Fifth Floor, Boston, MA 02114-1918
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (8/8/2014)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn1/26/2015
MassachusettsERA - Withdrawn11/4/2020

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

CAPITAL SECURITY ADVISORS LLC

CRD#: 170059

TRUST BUT VERIFY

Monitor Dennis Dicicco

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics