Rigoberto DapenaCRD Number: 1457405
Current Firm: Cgis Advisors LLC
Rigoberto Dapena (CRD# 1457405) is an Investment Advisor Representative working at Cgis Advisors LLC in Miami, FL and has over 32 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|Cgis Advisors LLC||Miami, FL||Mar 2014 - Current||4|
|Cgis Securities LLC||Miami, FL||Aug 2013 - Current||4|
|Oppenheimer & Company Inc.||Ft. Lauderdale, FL||Feb 2010 - Aug 2013||3|
|Morgan Stanley Smith Barney||Boca Raton, FL||Jul 2009 - Feb 2010||< 1|
|Unemployed||Coral Gables, FL||Jan 2009 - Jul 2009||< 1|
|Banc Of America Investment Services, Inc.||Miami, FL||Feb 2005 - Dec 2008||3|
|Bank Of America, N.a.||Miami, FL||Feb 2005 - Dec 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1986|
|S65||NASAA Investment Advisors Law Examination||Nov 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management17MILLIONS
Total Number of Accounts12ACCOUNTS
Average Account Value$1,439,364
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
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