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Anne Carolyn Dinning

D.e. Shaw Securities, LLC

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About Anne Carolyn Dinning

Anne Carolyn Dinning is a registered representative with D.e. Shaw Securities, LLC. Anne has been in the securities industry since 1995. Anne has passed the Series 3, 7, 24, 32, 63 and SIE exams. Anne has been registered with the Financial Industry Regulatory Authority (FINRA) since 2002. Anne is currently registered in 52 states and is a member of FINRA. Anne has held previous positions at D. E. Shaw Valence, L.L.C., D. E. Shaw Investments, L.P. and Desmonde Partners, L.P.

Firm Information

Anne Dinning is currently registered with D.e. Shaw Securities, LLC. D.e. Shaw Securities, LLC is a Limited Liability Company formed on November 13, 2000. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. D.e. Shaw Securities has been approved for registration by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

Not reported

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Anne Dinning’s Registration & Firm History

NY

08/14/2002 - Present

D.e. Shaw Securities, LLC (NEW YORK NY)

NY

08/14/2002 - 09/17/2007

D. E. SHAW VALENCE, L.L.C. (NEW YORK NY)

NY

10/11/2002 - 01/18/2006

D. E. SHAW INVESTMENTS, L.P. (NEW YORK NY)

NY

08/24/1998 - 03/16/1999

DESMONDE PARTNERS, L.P. (NEW YORK NY)

NY

11/14/1994 - 03/02/1999

D. E. SHAW SECURITIES, L.P. (NEW YORK NY)

NY

02/17/1992 - 03/02/1999

D. E. SHAW INVESTMENTS, L.P. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/21/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2012

Series 32 - Limited Futures Exam-Regulation

BC

Issued 08/30/2002

Series 3 - National Commodity Futures Examination

BC

Issued 08/13/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Anne Carolyn Dinning. Review regulatory record here.
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