Rigoberto Dapena, financial advisor Miami FL
83 score

Rigoberto Dapena

CRD 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 30 years of experience in the finance industry.

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Fin-est Investment Advisors, LLC
Company Name Location Dates Years
Cgis Advisors LLC Miami, FL Mar 2014 - Current 2
Cgis Securities LLC Miami, FL Aug 2013 - Current 3
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Rigoberto P. Dapena
Phone Number: 305-507-4544
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States


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