James K. Dilworth
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.
James Kendall Dilworth, who also goes by James Dilworth, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 2 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 30 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
January 10, 2019 - January 17, 2024
FIRST TRUST DIRECT INDEXING
August 25, 2005 - October 11, 2010
DILWORTH 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
Series 79TO
Date: 10/14/2025
Investment Banking Registered Representative ExaminationCurrent Firm
FIRST TRUST DIRECT INDEXING
CRD#: 297760 / SEC#: 801-113667
Contact information
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 1,420,844,638 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/15/2024 | ||
| 09/14/2023 | ||
| 03/30/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
