DW
Dionisio G. Waldow
NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2194084
DW
Professional summary
Dionisio Guenther Waldow, who also goes by Dion Waldow, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Dionisio is registered as a RR (Registered Representative) and started their career in finance in 1991. Dionisio has worked at 13 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dion Waldow
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Dionisio Guenther Waldow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2023 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
NEW YORK, NY
Past
February 8, 2023 - April 28, 2023
LOOP CAPITAL MARKETS LLC
BD
CRD#: 43098
NEW YORK, NY
Past
April 27, 2022 - November 18, 2022
ODEON CAPITAL GROUP LLC
BD
CRD#: 148493
NEW YORK, NY
Past
March 1, 2021 - April 11, 2022
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
NEW YORK, NY
Past
July 11, 2011 - August 27, 2020
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
June 1, 2011 - July 8, 2011
WSA FIXED INCOME, LLC
BD
CRD#: 145544
NEW YORK, NY
Past
January 7, 2008 - June 1, 2011
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
January 13, 2004 - November 19, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
July 1, 2003 - February 26, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 4, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 11, 1998 - July 7, 2000
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
July 27, 1996 - September 2, 1998
INTERCAPITAL SECURITIES LLC
BD
CRD#: 20004
JERSEY CITY, NJ
Past
July 27, 1996 - September 2, 1998
ICAP SECURITIES USA LLC
BD
CRD#: 19739
NEW YORK, NY
Past
November 8, 1991 - June 24, 1996
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/24/2023)
RR
Alaska(5/24/2023)
RR
Arizona(5/24/2023)
RR
Arkansas(5/24/2023)
RR
California(5/24/2023)
RR
Colorado(5/24/2023)
RR
Connecticut(5/24/2023)
RR
Delaware(5/24/2023)
RR
District of Columbia(5/24/2023)
RR
Florida(5/24/2023)
RR
Georgia(5/24/2023)
RR
Hawaii(5/24/2023)
RR
Idaho(5/24/2023)
RR
Illinois(5/24/2023)
RR
Indiana(5/24/2023)
RR
Iowa(5/24/2023)
RR
Kansas(5/24/2023)
RR
Kentucky(5/24/2023)
RR
Louisiana(5/24/2023)
RR
Maine(5/24/2023)
RR
Maryland(5/24/2023)
RR
Massachusetts(5/24/2023)
RR
Michigan(5/24/2023)
RR
Minnesota(5/24/2023)
RR
Mississippi(5/24/2023)
RR
Missouri(5/24/2023)
RR
Montana(5/24/2023)
RR
Nebraska(5/24/2023)
RR
Nevada(5/24/2023)
RR
New Hampshire(5/24/2023)
RR
New Jersey(5/24/2023)
RR
New Mexico(5/24/2023)
RR
New York(5/24/2023)
RR
North Carolina(5/24/2023)
RR
North Dakota(5/24/2023)
RR
Ohio(6/7/2023)
RR
Oklahoma(5/24/2023)
RR
Oregon(5/24/2023)
RR
Pennsylvania(5/24/2023)
RR
Rhode Island(5/24/2023)
RR
South Carolina(5/24/2023)
RR
South Dakota(5/24/2023)
RR
Tennessee(5/24/2023)
RR
Texas(5/24/2023)
RR
Utah(5/24/2023)
RR
Vermont(5/24/2023)
RR
Virginia(5/24/2023)
RR
Washington(5/24/2023)
RR
West Virginia(5/24/2023)
RR
Wisconsin(5/24/2023)
RR
Wyoming(5/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
