Lon E. Dircks

HUNTLEIGH ADVISORS

St. Louis, MO 63105

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CRD#: 4668629

Professional summary

Lon Eric Dircks JR, who also goes by Lon Eric Dircks, Lon Eric Dircks Jr Jr, Lon Eric Dircks Jr. Jr, Lon Dircks, is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in St. Louis, Missouri and HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.

Lon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lon has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lon Eric Dircks | Lon Eric Dircks Jr Jr | Lon Eric Dircks Jr. Jr | Lon Dircks

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) - RIA

Click below to view Lon Eric Dircks JR'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

April 22, 2024 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

RIA

CRD#: 113412

St. Louis, MO

Current

April 22, 2024 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

CRD#: 7456

St. Louis, MO

Past

January 24, 2017 - March 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHESTERFIELD, MO

Past

January 24, 2017 - March 6, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHESTERFIELD, MO

Past

June 1, 2009 - December 9, 2016

MORGAN STANLEY

RIA

CRD#: 149777

CHESTERFIELD, MO

Past

June 1, 2009 - December 9, 2016

MORGAN STANLEY

CRD#: 149777

CHESTERFIELD, MO

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SHILOH, IL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SHILOH, IL

Past

August 29, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SHILOH, IL

Past

August 8, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SHILOH, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(4/22/2024)

IAR

Illinois
(4/22/2024)

Missouri
(4/22/2024)

IAR

Missouri
(4/22/2024)

Wisconsin
(4/22/2024)

IAR

Wisconsin
(4/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/19/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/7/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/29/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/16/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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.

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Firm Stability Insights

Lon E. Dircks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lon Eric Dircks JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2003

SIE

Date: 10/1/2018

Series 31

Date: 9/19/2003

Series 7

Date: 8/7/2003

Series 10

Date: 3/29/2007

Series 9

Date: 3/16/2007

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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