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JC

Jon M. Calderone

DINAN CAPITAL ADVISORS
Phoenix, AZ 85008-6589
Some features on this profile are disabled
CRD#: 3087486
JC

Professional summary

Jon Merrill Calderone is a registered financial professional currently at DINAN CAPITAL ADVISORS located in Phoenix, Arizona.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1998. Jon has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

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 Jon Merrill Calderone'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

January 4, 2012 - Present

DINAN CAPITAL ADVISORS

Office #1: 307 N Gateway Blvd, Phoenix, AZ 85008-6589Office #2: 307 N Gateway Blvd, Phoenix, AZ 85008-6589
BD
CRD#: 157327
Phoenix, AZ
Past

March 10, 2009 - June 15, 2010

BILTMORE INVESTMENT MANAGEMENT, INC

RIA
CRD#: 148501
CAVE CREEK, AZ
Past

January 3, 2002 - February 6, 2003

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

October 15, 1999 - December 17, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

July 28, 1998 - July 28, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 28, 1998 - July 28, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
(1/5/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2011
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: 7/20/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DINAN CAPITAL ADVISORS
CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS | DCCA SECURITIES, LLC

CRD#: 157327 / SEC#: , 8-68847

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

Main Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Mailing Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Phone number
(855) 955-1500
Established
Arizona since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DINAN & COMPANY, LLCMEMBER / MANAGER
DINAN, MICHAEL ANTHONYCEO, PRINCIPAL1598465
KELLY, JOHN GREGORYEVP, PRINCIPAL5651780
MAIN, THOMAS BENNETTSVP, PRINCIPAL5912844
MARTINEZ, NANCY DINANCCO5912831
MILLER, DAVID WELLSCFO-FINOP334612

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

DINAN CAPITAL ADVISORS

CRD#: 157327Phoenix, AZ 85008-6589

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