is the Chief Executive Officer and Principal of CGIS Securities, LLC. Mr Dapena is a seasoned banking executive, investment advisor and business consultant with over 35 years-experience working with some of the most reputable global financial institutions, including: Citigroup, Bank of America, Prudential Securities (presently Wells Fargo Advisors), Morgan Stanley/Smith Barney, PaineWebber (presently UBS) and Kidder, Peabody/General Electric (presently UBS). Mr. Dapena holds a Master’s in Business Administration degree with honors from the University of Notre Dame/London Business School, and an undergraduate degree in Economics and Finance, He is a holder of the FINRA Series 7, 8, 24, 63, and 65 licenses.
Mr. Darius Lashkari
is the Chief Compliance Officer for CGIS Securities, LLC, overseeing the day-to-day compliance and operational activities of the firm. Mr. Lashkari has over 10 years experience in the financial services industry and has worked with brokerage firms such as Prudential Securities, Inc. and Morgan Stanley. He has also held executive positions with other firms such as Bear Stearns, Inc., and TD Waterhouse Securities. He is the holder of the Series 4, 7, 9, 10, 24, 27, 53, 63, 79, and 99 licenses.