Roy Dixon
Professional summary
Roy Dixon JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roy is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Roy had worked at 5 firms, which includes PROFESSIONAL ASSET MANAGEMENT INC., SIGMA FINANCIAL CORPORATION, TRANSAMERICA FINANCIAL ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2007 - April 23, 2010
PROFESSIONAL ASSET MANAGEMENT, INC.
February 23, 2007 - May 29, 2007
SIGMA FINANCIAL CORPORATION
March 23, 1994 - March 7, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 1992 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 28, 1987 - August 23, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 28, 1987 - August 23, 1991
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PROFESSIONAL ASSET MANAGEMENT, INC.
CRD#: 21125 / SEC#: , 8-38813
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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