MD
Michael T. Dipuppo
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CRD#: 68521
MD
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.
Michael Thomas Dipuppo was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 10 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, PC, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1 PRESIDENT OF DEVON FINANCIAL GROUP, LTD
-REGISTERED INVESTMENT ADVISOR SINCE 1988,150 SO WARNER ROAD #256, KING OF PRUSSIA, PA 19406, INVESTMENTS, START DATE OF RELATIONSHIP-07/16/2012, HOURS DEVOTED TO BUSINESS PER MONTH-ALL, HOURS DEVOTED TO BUSINESS DURING TRADING HOURS- ALL, DUTIES RELATING TO OTHER BUSINESS, PROVIDE FINANCIAL PLANNING SERVICES TO CLIENTS.
2 SYNERGY INSURANCE GROUP; YES, INVESTMENT RELATED; 2622 DALE EARNHARDT BLVD. KANNAPOLIS NC. 28083; INSURANCE, FIXED AND EQUITY INDEXED ANNUITIES SALES; AGENT; 2/17/2012; 8 HOURS PER MONTH; 8HOURS DURING SEC TRADING HOURS; SALE OF INSURNACE PRODUCTS.
3 SYNERGY INVESTMENT GROUP, LLC.; YES, INVESTMENT RELATED; 2622 DALE EARNHARDT BLVD. KINNAPOLIS, NC. 28083; RIA; INVESTMENT ADVISORY REPRESENTATIVE; 03/15/2010; 5 HOURS PER MONTH; 5 HOURS DURING SEC TRADING HOURS; ASSIST CLIENTS WITH THEIR INVESTMENTS.
4 Michael DiPuppo Living Trust
Trustee
YES Investment related
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 5, 2012 - February 18, 2023
SYNERGY INVESTMENT GROUP, LLC
RIA
CRD#: 46035
KANNAPOLIS, NC
Past
February 22, 2012 - February 7, 2023
STONEX SECURITIES INC.
BD
CRD#: 18456
Exton, PA
Past
April 5, 2010 - March 7, 2012
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
KING OF PRUSSIA, PA
Past
June 27, 2008 - December 18, 2009
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
KING OF PRUSSIA, PA
Past
June 24, 2008 - June 24, 2008
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
KING OF PRUSSIA, PA
Past
April 2, 1991 - July 25, 2012
DEVON FINANCIAL GROUP, LTD
RIA
CRD#: 123180
KING OF PRUSSIA, PA
Past
April 5, 1988 - May 28, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
KING OF PRUSSIA, PA
Past
November 1, 1984 - June 7, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 10, 1980 - November 5, 1984
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
Past
January 31, 1980 - December 6, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
December 7, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
Past
May 5, 1977 - January 8, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
BD
CRD#: 7394
Past
July 13, 1972 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
BD
CRD#: 412
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 12/23/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 7/11/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/13/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES
CRD#: 46035 / SEC#: 801-68315, 8-51278
RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)BD
Terminated by SEC on 05/05/2012
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Contact information
Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
