Richard G. Dion
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.
Richard George Dion, who also goes by Rich Dion, Richard G Dion, Rick Dion, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1988. Richard had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2006 - January 23, 2009
BROOKSTONE SECURITIES, INC.
July 1, 1999 - May 9, 2005
FERRIS, BAKER WATTS, LLC
June 8, 1999 - May 9, 2005
FERRIS, BAKER WATTS, LLC
June 6, 1997 - June 10, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1995 - June 11, 1997
MORGAN STANLEY DW INC.
July 31, 1993 - August 8, 1995
CITIGROUP GLOBAL MARKETS INC.
February 14, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 13, 1989 - February 20, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1988 - March 6, 1989
GRUNTAL & CO., L.L.C.
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
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
