HD
Hugh J. Dillon
THE OAK RIDGE FINANCIAL SERVICES GROUP
GOLDEN VALLEY, MN 55416
Some features on this profile are disabled
CRD#: 1618133
HD
Professional summary
Hugh James Dillon is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
Hugh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Hugh has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Hugh James Dillon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hugh James Dillon'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
September 6, 2013 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416Office #2: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
GOLDEN VALLEY, MN
Current
January 7, 2003 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
GOLDEN VALLEY, MN
Past
March 14, 1990 - January 9, 2003
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
November 11, 1988 - March 19, 1990
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
February 1, 1988 - December 6, 1988
OBERWEIS SECURITIES, INC.
BD
CRD#: 7739
Past
March 25, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
BD
CRD#: 1743
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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alaska(9/9/2019)
RR
Arizona(11/6/2007)
IAR
Arizona(10/23/2023)
RR
California(9/2/2004)
IAR
California(10/16/2023)
RR
Colorado(6/6/2023)
IAR
Colorado(6/6/2023)
RR
Connecticut(1/7/2003)
IAR
Connecticut(10/17/2023)
RR
Florida(2/16/2012)
IAR
Florida(10/17/2023)
RR
Georgia(10/6/2022)
RR
Illinois(10/6/2022)
RR
Iowa(9/9/2019)
RR
Michigan(1/7/2003)
IAR
Michigan(10/18/2023)
RR
Minnesota(1/7/2003)
IAR
Minnesota(1/24/2014)
RR
Missouri(6/2/2023)
RR
New Hampshire(1/31/2003)
RR
New Jersey(11/16/2021)
RR
New York(10/28/2019)
RR
North Dakota(11/10/2006)
RR
Oregon(1/7/2003)
RR
South Carolina(5/9/2019)
RR
Texas(11/3/2015)
IAR
Texas(10/16/2023)
RR
Vermont(2/2/2015)
RR
Virginia(3/5/2015)
RR
Washington(10/6/2022)
RR
Wisconsin(3/12/2007)
IAR
Wisconsin(9/6/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
CRD#: 42941Golden Valley, MN 55416TRUST BUT VERIFY
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Contact information
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