James K. Dille
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.
James Kirk Dille JR, who also goes by Jr James Kirk Dille, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 10 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2021 - May 31, 2023
NEWEDGE SECURITIES, LLC
November 17, 2021 - May 31, 2023
NEWEDGE ADVISORS
February 17, 2021 - November 17, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - November 17, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
May 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
April 6, 1992 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 19, 1989 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
March 1, 1988 - October 19, 1989
INVESTMENT CORPORATION OF VIRGINIA
April 20, 1983 - March 14, 1988
KIDDER, PEABODY & CO. INCORPORATED
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
What does exam status mean?
Series 10
Passed: 5/24/2002
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| JESSE, JAMES WILLIAM JR. | DIRECTOR | 4244855 |
| SMITH, KYLE PETER | PRESIDENT AND DIRECTOR | 2142563 |
| TIMMERMAN, ERIN NICOLE | GENERAL COUNSEL | 6387118 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
