Robert J. Dillon
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.
Robert Jay Dillon, who also goes by Bob Dillon, Robert Jay Dillon III, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2018 - April 30, 2019
FORESIDE FUND SERVICES, LLC
July 23, 2014 - December 31, 2016
STAIRWAY PARTNERS, LLC
October 5, 2011 - June 18, 2014
CRT CAPITAL GROUP LLC
September 10, 2003 - April 3, 2007
DEUTSCHE BANK SECURITIES INC.
April 28, 1998 - September 9, 2003
GOLDMAN SACHS & CO. LLC
September 2, 1997 - April 28, 1998
SBC WARBURG DILLON READ INC.
February 8, 1995 - September 2, 1997
SBC WARBURG, INC.
June 1, 1993 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 10, 1990 - June 16, 1993
BANC ONE CAPITAL MARKETS, INC.
August 25, 1988 - July 26, 1989
WINGSPAN INVESTMENT SERVICES
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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