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JD

John C. Dixon

DINOSAUR FINANCIAL GROUP, L.L.C
West Palm Beach, FL
Some features on this profile are disabled
CRD#: 1572303
JD

Professional summary

John Charles Dixon is a registered financial professional currently at DINOSAUR FINANCIAL GROUP, L.L.C located in West Palm Beach, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Charles Dixon's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 6, 2019 - Present

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
West Palm Beach, FL
Past

July 15, 2014 - May 2, 2019

CLEARVIEW TRADING ADVISORS, INC.

BD
CRD#: 142873
NEW YORK, NY
Past

November 15, 2011 - July 14, 2014

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
NEW YORK, NY
Past

March 1, 2011 - June 8, 2011

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
NEW YORK, NY
Past

July 22, 2010 - March 1, 2011

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

March 4, 2004 - July 15, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

July 9, 1992 - March 7, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

August 8, 1988 - July 20, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

May 3, 1988 - May 25, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

May 3, 1988 - June 2, 1988

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
Past

January 1, 1987 - February 23, 1988

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(6/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/22/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DF
DINOSAUR FINANCIAL GROUP, L.L.C
APB FINANCIAL GROUP | EAGLE BROKERS | DINOSAUR SECURITIES, L.L.C. | DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446 / SEC#: , 8-52908

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
33 Whitehall St 1102, New York, NY 10004
Mailing Address
33 Whitehall St 1102, New York, NY 10004
Phone number
(212) 448-9944
Established
Delaware since 05/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DINOSAUR GROUP HOLDINGS, LLCPARENT
GIORGIO, ANTHONY JOSEPHCCO/AMLCO5489336
GROSSMAN, GLENN ANDREWPRESIDENT/CEO/MANAGING MEMBER1657276
SULEYMANOV, ZAKHARCFO/FINOP4927317

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446West Palm Beach, FL

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