Donald R. Dipaola
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.
Donald Roy Dipaola, who also goes by Don R Dipaola, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1968. Donald had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 1, Series 27, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2008 - November 19, 2020
GOLDEN RETURNS ADVISORS LLC
August 22, 1988 - June 7, 1989
HANIFEN, IMHOFF SECURITIES CORP.
June 10, 1987 - October 17, 1988
HANIFEN, IMHOFF INC.
February 21, 1985 - June 24, 1987
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1976 - May 1, 1980
INTERNATIONAL SECURITIES, INC.
November 29, 1974 - February 16, 1976
B.C. CHRISTOPHER SECURITIES CO.
February 25, 1974 - December 14, 1974
BARTON AND COMPANY INCORPORATED
November 19, 1968 - April 30, 1974
DUPONT WALSTON, 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: 11/13/1968
Registered Representative ExaminationF04
Date: 10/24/1975
Financial Principal ExaminationSeries 00
Date: 10/24/1975
General Securities Principal ExaminationCurrent Firm
GOLDEN RETURNS ADVISORS LLC
CRD#: 146716 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,935,641 |
Red Flags
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