Floris G. Van Dijkum
Professional summary
Floris Gerbrand Van Dijkum, who also goes by Floris Gerbrand Van Dijkum, Floris Gerbrand Hendrik Vandijkum, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Floris is registered as a RR (Registered Representative) and started their career in finance in 2011. Floris has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Floris Gerbrand Van Dijkum's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2025 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019June 28, 2019 - June 30, 2025
COMPASS POINT RESEARCH & TRADING, LLC
September 18, 2015 - June 13, 2018
BOENNING & SCATTERGOOD, INC.
August 5, 2011 - May 21, 2014
BLACKROCK INVESTMENTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/8/2025)
(7/8/2025)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
