Timothy E. 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.
Timothy Edward Dixon, who also goes by Tim Dixon, Timothy Dixon, was a registered financial advisor .
Timothy is a previously registered financial advisor and started their career in finance in 1994. Timothy had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2009 - January 6, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 23, 2007 - July 8, 2008
STONEFIELD INVESTMENT ADVISORY, INC.
October 9, 2007 - August 28, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 17, 2001 - July 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 16, 2001 - July 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 21, 2000 - March 16, 2001
FIRSTAR INVESTMENT SERVICES,INC.
October 18, 1995 - December 8, 2000
COMPULIFE INVESTOR SERVICES, INC.
May 25, 1995 - October 27, 1995
OSAIC WEALTH, INC.
August 3, 1994 - May 22, 1995
COMPULIFE INVESTOR SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
