Stephen A. Dipisa

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

NEW YORK, NY

CRD#: 839294

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Professional summary

Stephen Alan Dipisa is a registered financial advisor currently at STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Stephen has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Alan Dipisa's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 10, 2023 - Present

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

RIA

CRD#: 124566

NEW YORK, NY

Past

February 3, 1993 - December 22, 1993

NATWEST SECURITIES CORPORATION

CRD#: 18238

Past

March 26, 1992 - January 11, 1993

SCHONFELD SECURITIES, LLC

CRD#: 23304

Past

January 29, 1991 - May 30, 1991

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

Past

November 29, 1982 - June 30, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 14, 1981 - April 26, 1982

SINCLAIR SECURITIES COMPANY

CRD#: 7499

Past

October 17, 1978 - September 12, 1981

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Past

July 1, 1977 - February 25, 1979

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/14/1990

General Securities Representative Examination

Current Firm

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

DIPISA, STEPHEN A. | STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

CRD#: 124566 / SEC#:

New York

Registered Investment Advisory firm - (9/15/1999 Approved)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(212) 874-3229

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 12,018,808

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.

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Stephen A. Dipisa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Alan Dipisa's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

NATWEST SECURITIES CORPORATION

SCHONFELD SECURITIES, LLC

INVESCO CAPITAL MARKETS, INC.

UBS FINANCIAL SERVICES INC.

SINCLAIR SECURITIES COMPANY

CREDIT SUISSE SECURITIES (USA) LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2003

Series 63

Date: 4/28/1992

Series 7

Date: 11/14/1990

Current Firm

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEPHEN A. DIPISA REGISTERED INVESTMENT ADVISOR

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