William M. Dixon
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.
William Morgan Dixon, who also goes by Bill Dixon, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2013 - January 24, 2020
LAMPE CAPITAL NORTH AMERICA LLC
September 24, 2010 - December 5, 2011
BAADER HELVEA INC.
August 9, 2005 - March 23, 2010
SAL. OPPENHEIM JR. & CIE. SECURITIES INC.
May 15, 2001 - March 26, 2003
BANC OF AMERICA SECURITIES LLC
October 30, 2000 - May 4, 2001
COMMERZBANK CAPITAL MARKETS CORP.
January 1, 1996 - November 3, 2000
HSBC SECURITIES (USA) INC.
July 18, 1989 - January 1, 1996
JAMES CAPEL INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
LAMPE CAPITAL NORTH AMERICA LLC
CRD#: 160477 / SEC#: , 8-69034
Contact information
Documents
Red Flags
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