James R. Dillard
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 Randall Dillard, who also goes by J. Randall Dillard, James Randall Dillard Sr, James Dillard, Randy Dillard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 4 firms and has passed the Series 65, Series 63 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
August 5, 2021 - August 4, 2025
AE WEALTH MANAGEMENT, LLC
September 26, 2001 - May 21, 2004
EQUITY SERVICES, INC.
September 25, 2001 - May 21, 2004
EQUITY SERVICES, INC.
January 1, 1996 - August 21, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 15, 1995 - August 21, 1998
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
