Michael D. Dion
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.
Michael Dana Dion was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 9 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 1997 - June 2, 1999
JWGENESIS SECURITIES, INC.
January 30, 1997 - June 2, 1997
ARGENT SECURITIES, INC.
July 28, 1994 - April 12, 1995
GREAT AMERICAN FINANCIAL NETWORK, INC.
May 15, 1992 - July 21, 1994
SCHNEIDER SECURITIES, INC.
December 17, 1990 - April 21, 1992
PACIFIC SOUTHERN SECURITIES, INC.
August 14, 1990 - December 20, 1990
SHAMROCK PARTNERS, LTD
January 15, 1987 - August 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 19, 1986 - January 16, 1987
EASTERN CAPITAL SECURITIES, INC.
October 11, 1985 - December 19, 1985
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JWGENESIS SECURITIES, INC.
CRD#: 33832 / SEC#: , 8-46367
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
Red Flags
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