Walter J. Dillingham
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.
Walter J Dillingham, who also goes by Walter J Dillingham Jr., was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 2001. Walter had worked at 7 firms and has passed the Series 63, Series 7TO, SIE 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
April 20, 2020 - June 9, 2021
M&T SECURITIES, INC.
August 25, 2011 - June 9, 2021
M&T SECURITIES, INC.
May 11, 2011 - September 1, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
September 25, 2009 - August 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2009 - August 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2009 - September 28, 2009
BOFA ADVISORS, LLC
November 7, 2005 - September 28, 2009
BOFA DISTRIBUTORS, INC.
October 20, 2004 - November 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 6, 2004 - October 20, 2004
QUICK & REILLY, INC.
May 2, 2001 - October 31, 2002
QUICK & REILLY, INC.
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
Series 7TO
Date: 3/19/2024
General Securities Representative ExaminationCurrent Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
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.
