Derrick J. Dichiara
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.
Derrick John Dichiara was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 2011. Derrick had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2014 - November 26, 2014
HIGH POINT CAPITAL GROUP, INC.
July 9, 2012 - April 30, 2013
DELANEY EQUITY GROUP LLC
April 8, 2011 - August 2, 2012
ASCENDIANT CAPITAL MARKETS, LLC
April 1, 2011 - April 6, 2011
BMA SECURITIES, LLC
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: 7/25/2011
Limited Representative-Equity Trader ExamCurrent Firm
HIGH POINT CAPITAL GROUP, INC.
CRD#: 25667 / SEC#: , 8-42040
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDERSEN, ROBERT ELWOOD JR | PRESIDENT, SECRETARY, TREASURER, CCO & FINOP | 2010590 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
