Dion L. Cleaver
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.
Dion Laurence Cleaver, who also goes by Dion Laurance Cleaver, was a registered financial professional .
Dion is a previously registered financial professional and started their career in finance in 1984. Dion had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2000 - November 19, 2004
SUNAMERICA SECURITIES, INC.
May 7, 1999 - July 19, 2000
MORGAN STANLEY DW INC.
February 15, 1995 - April 12, 1999
FOX & COMPANY INVESTMENTS INC.
May 19, 1992 - December 14, 1994
SUNAMERICA SECURITIES, INC.
August 20, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 14, 1990 - August 16, 1990
MASON, HUNT & CO., INC.
November 23, 1988 - February 7, 1990
MORGAN STANLEY DW INC.
February 15, 1988 - December 8, 1988
LEHMAN BROTHERS INC.
March 27, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 17, 1985 - March 17, 1987
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1984 - April 25, 1985
RAUSCHER PIERCE REFSNES, INC.
September 19, 1984 - November 12, 1984
LEHMAN BROTHERS INC.
June 11, 1984 - July 16, 1984
SEA INVESTORS 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
SUNAMERICA SECURITIES, INC.
CRD#: 20068 / SEC#: , 8-38083
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 16 |
| Bond | 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.
