Dionyse N. Fitzwilliam
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.
Dionyse Noelle Fitzwilliam was a registered financial professional .
Dionyse is a previously registered financial professional and started their career in finance in 1998. Dionyse had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2001 - April 2, 2012
RICE FINANCIAL PRODUCTS COMPANY
April 6, 2000 - March 7, 2001
M. R. BEAL & COMPANY
September 3, 1999 - April 14, 2000
RICE FINANCIAL PRODUCTS COMPANY
August 27, 1998 - July 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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