LD
Liam F. Dalton
AXIOM INVESTMENT MANAGEMENT LLC
New York, NY 10118
Some features on this profile are disabled
CRD#: 1327801
LD
Professional summary
Liam Francis Dalton, who also goes by Lee Dalton, is a registered financial advisor currently at AXIOM INVESTMENT MANAGEMENT LLC located in New York, New York and AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Liam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Liam has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Dalton
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I AM THE PRESIDENT OF DALSTAR CORPORATION, AN INVESTMENT CONSULTING BUSINESS, AND PLAN TO SPEND LESS THAN 3% OF MY TIME OR ABOUT 5 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Liam Francis Dalton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 2, 2021 - Present
AXIOM INVESTMENT MANAGEMENT LLC
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118RIA
CRD#: 141516
New York, NY
Current
September 6, 1990 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118Office #2: 350 Fifth Avenue Suite 6740, New York, NY 10118BD
CRD#: 26580
New York, NY
Past
March 21, 1988 - October 1, 1990
CAPITAL HILL GROUP, INC.
BD
CRD#: 10323
AUSTIN, TX
Past
December 18, 1984 - March 26, 1988
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
AXIOM INVESTMENT MANAGEMENT LLC
AXIOM INVESTMENT MANAGEMENT LLC | ROCKEFELLER CAPITAL MANAGEMENT/VIOS ADVISORS
CRD#: 141516 / SEC#: 801-67131
RIA
Registered Investment Advisory firm - (8/24/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/15/1990)
RR
Alaska(1/7/1991)
RR
Arizona(2/14/1991)
RR
Arkansas(1/23/1991)
RR
California(9/20/1990)
RR
Colorado(9/20/1990)
RR
Connecticut(10/9/1990)
RR
Delaware(10/9/1990)
RR
District of Columbia(10/2/1990)
RR
Florida(12/4/1990)
RR
Georgia(9/20/1990)
RR
Hawaii(10/9/1990)
RR
Idaho(10/24/1990)
RR
Illinois(9/7/1990)
RR
Indiana(9/12/1990)
RR
Iowa(10/3/1990)
RR
Kansas(10/17/1990)
RR
Kentucky(11/27/1990)
RR
Louisiana(9/24/1990)
RR
Maine(4/3/1991)
RR
Maryland(10/22/1990)
RR
Massachusetts(10/3/1990)
RR
Michigan(10/1/1990)
RR
Minnesota(1/10/1991)
RR
Mississippi(1/25/1991)
RR
Missouri(10/4/1990)
RR
Montana(9/20/1990)
RR
Nebraska(1/7/1991)
RR
Nevada(1/7/1991)
RR
New Hampshire(10/17/1990)
RR
New Jersey(11/20/1990)
RR
New Mexico(1/5/1991)
RR
New York(7/17/1990)
IAR
New York(12/2/2021)
RR
North Carolina(10/22/1990)
RR
North Dakota(1/8/1991)
RR
Ohio(1/23/1998)
RR
Oklahoma(10/17/1990)
RR
Oregon(2/13/1991)
RR
Pennsylvania(10/2/1990)
RR
Puerto Rico(9/11/1998)
RR
Rhode Island(11/7/1990)
RR
South Carolina(10/22/1990)
RR
South Dakota(10/2/1990)
RR
Tennessee(10/2/1990)
RR
Texas(10/3/1990)
RR
Utah(1/24/1991)
RR
Vermont(10/2/1990)
RR
Virgin Islands(1/13/2009)
RR
Virginia(10/10/1990)
RR
Washington(1/24/1991)
RR
West Virginia(11/21/1990)
RR
Wisconsin(12/12/1990)
RR
Wyoming(1/14/1991)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AI
AXIOM INVESTMENT MANAGEMENT LLC
AXIOM INVESTMENT MANAGEMENT LLC | ROCKEFELLER CAPITAL MANAGEMENT/VIOS ADVISORS
CRD#: 141516 / SEC#: 801-67131
RIA
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Contact information
Main Address
350 Fifth Avenue Suite 6740, New York, NY 10118
Mailing Address
Phone number
(212) 521-3800
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 194 |
| AUM (Assets Under Management) | $ 233,658,031 |
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.
