Donald A. Dix
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Albert Dix was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1983. Donald had worked at 8 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2002 - September 26, 2003
WORLD GROUP SECURITIES, INC.
November 7, 1994 - April 12, 2002
WMA SECURITIES, INC.
March 22, 1993 - February 8, 1994
PROGRAMMED EQUITIES CORPORATION
November 19, 1989 - October 3, 1991
OSAIC WEALTH, INC.
July 15, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 19, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 18, 1985 - September 22, 1986
TITAN/VALUE EQUITIES GROUP, INC.
September 30, 1983 - January 8, 1985
L.E. PETERSON AND COMPANY
July 28, 1983 - September 20, 1983
ARM SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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