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BD

Brian C. Dixon

INTESA SANPAOLO IMI SECURITIES
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 2875302
BD

Professional summary

Brian C Dixon is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian C Dixon'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®
None

Experience

Current

December 18, 2014 - Present

INTESA SANPAOLO IMI SECURITIES CORP.

Office #1: 1 William Street, New York, NY 10004
BD
CRD#: 19418
NEW YORK, NY
Past

July 27, 2012 - March 5, 2013

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

October 6, 2011 - July 24, 2012

TRADEWEB DIRECT LLC

BD
CRD#: 103787
NEW YORK, NY
Past

August 11, 2010 - May 27, 2011

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

June 18, 2010 - August 16, 2010

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

February 23, 2010 - July 20, 2010

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
HAUPPAUGE, NY
Past

July 12, 2001 - January 27, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 10, 2001 - July 16, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 4, 1999 - October 24, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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
Arizona
(12/18/2014)
RR
California
(12/18/2014)
RR
Colorado
(12/18/2014)
RR
Connecticut
(12/18/2014)
RR
Delaware
(12/18/2014)
RR
Florida
(12/18/2014)
RR
Georgia
(12/18/2014)
RR
Illinois
(12/18/2014)
RR
Indiana
(12/18/2014)
RR
Maine
(12/18/2014)
RR
Maryland
(12/18/2014)
RR
Massachusetts
(12/18/2014)
RR
Michigan
(12/18/2014)
RR
Minnesota
(12/18/2014)
RR
Missouri
(12/18/2014)
RR
New Jersey
(12/18/2014)
RR
New York
(12/18/2014)
RR
North Carolina
(12/19/2014)
RR
Ohio
(12/19/2014)
RR
Pennsylvania
(12/18/2014)
RR
Puerto Rico
(12/18/2014)
RR
Rhode Island
(12/18/2014)
RR
South Carolina
(12/18/2014)
RR
Texas
(12/18/2014)
RR
Virginia
(12/18/2014)
RR
Wisconsin
(12/18/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/6/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/3/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/17/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
INTESA SANPAOLO IMI SECURITIES CORP.
BANCA IMI SECURITIES CORP. | INTESA SANPAOLO IMI SECURITIES CORP. | IMI SECURITIES CORPORATION | EURAM SECURITIES CORPORATION

CRD#: 19418 / SEC#: , 8-37444

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 William Street, New York, NY 10004
Mailing Address
1 William Street, New York, NY 10004
Phone number
(212) 326-1100
Established
Delaware since 12/01/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IMI CAPITAL MARKETS USA CORPORATIONSOLE SHAREHOLDER
AMOROSO, PAOLO GLAUCOCORPORATE SECRETARY7870609
BURIOLI, NOVELLADIRECTOR7874990
DIBELLA, VINCENTCHIEF FINANCIAL OFFICER/ TREASURER2587408
LUCCHINI, STEFANODIRECTOR7889772
MARRAS, STEFANOCEO/DIRECTOR7322813
PARISI, RICHARD ANTHONYCHIEF OPERATIONS OFFICER4668388
RUIZ, JEFFREY ACHIEF COMPLIANCE OFFICER2562825
SEGNI, LAURADIRECTOR7890924

Disclosures

Regulatory Event11
Criminal1
Civil Event1

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.

Company Information

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418New York, NY 10004

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