Richard A. Dinetta
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.
Richard Anthony Dinetta was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2003 - May 17, 2016
MESIROW FINANCIAL, INC.
July 15, 2002 - January 2, 2003
RED-HORSE SECURITIES, LLC
November 7, 2001 - July 16, 2002
REDWOOD BROKERAGE LLC
August 13, 1985 - October 9, 2001
NATIVE NATIONS SECURITIES, INC.
November 5, 1981 - August 1, 1985
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1979 - November 30, 1981
BRUNS, NORDEMAN, REA & CO.
July 26, 1976 - April 26, 1979
TUCKER ANTHONY INCORPORATED
March 19, 1973 - May 10, 1974
FIRST BERGEN INVESTORS CO
February 3, 1971 - January 18, 1974
FRANK AND DRAKE, INCORPORATED
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: 1/27/1971
Registered Representative ExaminationCurrent Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
Red Flags
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