Charles J. Dimaggio
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.
Charles Joseph Dimaggio, who also goes by Charlie Dimaggio, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 4 firms and has passed the Series 63, Series 6, Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1996 - November 17, 2005
HALLIDAY FINANCIAL, LLC
October 11, 1985 - September 17, 1996
USLIFE EQUITY SALES CORP.
December 19, 1977 - June 26, 1980
DESIGNED PROGRAMS, INC.
June 12, 1970 - March 17, 1978
LINSCO FINANCIAL GROUP, INC.
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 1
Date: 3/6/1970
Registered Representative ExaminationCurrent Firm
HALLIDAY FINANCIAL, LLC
CRD#: 31741 / SEC#: , 8-45529
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HRC INVESTMENT SERVICES, INC. | DIRECT PARENT OF HALLIDAY FINANCIAL, LLC | |
| PINO, RACHEL HOLSTE | FINOP, CCO, SUPERVISOR | 2381976 |
Disclosures
| Regulatory Event | 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.
