Cecil R. Dimond
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.
Cecil Richard Dimond, who also goes by C Richard Dimond, Dick Dimond, Richard C Dimond, Richard Dimond, was a registered financial professional .
Cecil is a previously registered financial professional and started their career in finance in 1983. Cecil had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1989 - April 30, 2019
FMSBONDS, INC.
January 20, 1988 - August 9, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
August 13, 1987 - August 9, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
December 5, 1985 - June 19, 1987
TMA GOVERNMENT SECURITIES, LTD.
June 7, 1983 - September 27, 1985
BRITTENUM & ASSOCIATES, INC.
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
FMSBONDS, INC.
CRD#: 7793 / SEC#: , 8-23280
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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