Thomas S. 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.
Thomas Stephen Dillon, who also goes by Tom S Dillon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - September 12, 2017
BRANDYWINE INVESTMENT SECURITIES, LLC
July 29, 2015 - December 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
October 20, 2010 - March 20, 2013
SIGNATOR INVESTORS, INC.
December 15, 2005 - January 23, 2009
PERSHING LLC
April 5, 2004 - November 18, 2005
REFCO SECURITIES, LLC
November 15, 1999 - April 27, 2004
WEXFORD CLEARING SERVICES, LLC
July 17, 1991 - October 1, 1999
DAIWA CAPITAL MARKETS AMERICA INC.
June 26, 1989 - May 10, 1990
NATIONAL FINANCIAL SERVICES LLC
April 26, 1989 - June 26, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
July 25, 1987 - May 20, 1988
MERRILL LYNCH GOVERNMENT SECURITIES INC.
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
BRANDYWINE INVESTMENT SECURITIES, LLC
CRD#: 153288 / SEC#: , 8-68520
Contact information
Documents
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.
