Charles R. Dipuppo
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 Robert Dipuppo was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1972. Charles had worked at 8 firms and has passed the Series 63, PC, Series 000 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
July 28, 2010 - July 25, 2012
DEVON FINANCIAL GROUP, LTD
June 25, 2008 - October 27, 2009
GUNNALLEN FINANCIAL, INC
April 11, 1988 - May 28, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 1, 1984 - April 19, 1988
KIDDER, PEABODY & CO. INCORPORATED
September 18, 1980 - February 6, 1984
TUCKER ANTHONY INCORPORATED
January 31, 1980 - October 17, 1980
UBS FINANCIAL SERVICES INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 21, 1972 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., 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
PC
Date: 10/3/1977
AMEX Put and Call ExamSeries 000
Date: 7/19/1972
General Securities Principal ExaminationSeries 1
Date: 7/19/1972
Registered Representative ExaminationCurrent Firm
DEVON FINANCIAL GROUP, LTD
CRD#: 123180 / SEC#:
Contact information
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.
