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HD

Harold P. Dilema

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 2994524
HD

Professional summary

Harold Pestano Dilema, who also goes by Harold Pestano Dilema, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1998. Harold has worked at 9 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harold Pestano Dilema

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 Harold Pestano Dilema's CRS (Customer Relationship Summary).
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

July 29, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

February 28, 2022 - July 27, 2024

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
New York, NY
Past

February 22, 2022 - July 27, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

January 1, 2021 - November 3, 2021

BARNABAS CAPITAL, LLC

BD
CRD#: 297890
CHARLOTTE, NC
Past

May 22, 2020 - January 19, 2022

ALPHASTAR CAPITAL MANAGEMENT

RIA
CRD#: 157423
Scottsdale, AZ
Past

July 12, 2005 - December 19, 2008

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
TEMPE, AZ
Past

October 12, 2001 - December 31, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

June 14, 2000 - March 1, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

April 22, 1999 - April 23, 1999

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

March 23, 1998 - August 24, 1998

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

January 26, 1998 - April 2, 1998

SIMMERS CAPITAL MANAGEMENT CORPORATION

BD
CRD#: 29960
PHOENIX, AZ

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
Iowa
(7/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/30/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/28/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/11/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/11/2005
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867West Des Moines, IA 50266

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