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Anne Dinning

Chair of the Executive Committee at D. E. Shaw & Co.

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Anne Dinning is Chair of the Executive Committee of D. E. Shaw & Co., L.P., a New York investment adviser managing $213B. Anne Dinning has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at D. E. Shaw & Co.

Title on Schedule A
Chair of the Executive Committee
Control
Anne Dinning is a control person of D. E. Shaw & Co.
Ownership
An individual ownership band is not available in the source record.
Tenure
Anne Dinning has held the filed role since July 1997.

The firm

D. E. Shaw & Co., L.P.
New York, NY

Form ADV filed 14 August 2026

$213B AUM23 clients526 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 32 · 2012
  4. Passed Series 7, Series 63, Series 24 and Series 3 · 2002

Registrations and exams

Broker registration; no current adviser registration. Anne Dinning has passed 7 qualifying exams.

Examinations

Series 6321 August 2002
Name
Uniform Securities Agent State Law Examination
Series 2427 August 2002
Name
General Securities Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 3212 November 2012
Name
Limited Futures Exam-Regulation
Series 330 August 2002
Name
National Commodity Futures Examination
Series 713 August 2002
Name
General Securities Representative Examination

Individual record

Full name
Anne Carolyn Dinning
CRD
2078654
Firm
D. E. Shaw & Co., L.P.
Registration status
Broker registration; no current adviser registration
Firm bio
deshaw.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

The D. E. Shaw Group identifies Anne Dinning as chair of its Executive Committee and a managing director. She joined the firm in 1990 and earned a Ph.D. in computer science from NYU’s Courant Institute. Official firm biography

Common questions

Where does Anne Dinning work?

Anne Dinning has been Chair of the Executive Committee of D. E. Shaw & Co., L.P. since July 1997, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 August 2026

Does Anne Dinning have a current investment-adviser registration?

Anne Dinning has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Anne Dinning passed?

Anne Dinning has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 3, Series 32, SIE and Series 79TO. The earliest, the Series 7, was passed in August 2002.

Source: IAPD individual record, checked 17 October 2026

Leadership at D. E. Shaw & Co.

Sources

  1. IAPD individual record, CRD 2078654. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of D. E. Shaw & Co., L.P., filed 14 August 2026. Title, control and ownership bands.
  3. D. E. Shaw & Co. team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Anne Dinning or D. E. Shaw & Co., L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.