Gregory F. Dillon
PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
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CRD#: 4771321
Professional summary
Gregory F Dillon, CFP® is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Gregory has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) AFEA; 349 Copperfield Blvd NE STE-L #106; Non-Profit; Not Investment Related; President/Teacher/Instructor; President of chapter and teach social security and retirement income seminars/classes; 02/2016; 8 hours per month; 8 hours per month during trading hours. 2) Best Buddies NJ; 70 Church Street, Flemington, NJ 08822; 04/2019; Advisory Board Member; Evaluation, planning, fundraising; Not Investment Related; 6 hours/month; 2 hours/month during business hours; No Compensation. 3) OneTeam Financial, LLC; www.oneteamfinancial.com; 07/01/2019; Registered Representative; General financial services; Investment Related; 200 hours/month; 200 hours/month during business hours; Expense Reimbursements; Profits, Commissions, Referral Fees, Wages/Salary/Tips. 4) Clarity 2 Prosperity; 30400 Detroit Road, Suite 201, Westlake, OH 44145; 02/15/2017; Producer/Mastermind Group member; GA for Fixed Annuity business; Not Investment Related; 5 hours/month; 5 hours/month during business hours; Commissions. 5) NJLTC Marketplace; 1 Bethany Road, Suite 32, Hazlet, NJ 07730; 09/21/2015; Producer; GA for Disability & LTC Individual & Group; Not Investment Related; 5 hours/month; 5 hours/month during business hours; Commissions. 6) OneTeam Financial Learning Program; 331 Newman Springs Road Bldg. 1, Suite 107 Red Bank, NJ 07701; Learning Program; Not Investment Related; Principal/Advisor; Presenter in learning program; 02/01/2023; 3 hours per month; 3 hours per month during trading hours. 7) Estate Planning Council of Central NJ; 200 Schulz Drive, Suite 400, Red Bank NJ 07701; Networking and Continuing Education; Investment Related; Treasurer; Accounting and check writing for council; 09/2023; 5 hours per month; 0 hours per month during trading hours. 8) PCA - Prosperity Capital Advisors; 30400 Detroit Rd, #201, Westlake OH 44145; RIA; Investment Related; Financial Advisor; Provide clients investment solutions; 1/1/2024; 100 hours per month; 80 hours per month during trading hours. 9) Mr. Dillon is a registered representative of M Holdings Securities, Inc., a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Dillon sells securities through M Holding Securities, Inc. and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Dillon spends approximately 10 hours per week on this activity during trading hours. 10) Gregory Dillon has ownership shares in Blu, LLC and C2P Enterprises, LLC which includes its affiliate C2P Capital Advisory Group, LLC d.b.a. Prosperity Capital Advisors (PCA). Mr. Dillon is not involved in the day-to-day operations of the company but is an advisor of PCA. Mr. Dillon spends less than one hour per month on this activity during non-trading hours. 11) Gregory Dillon is a partner of OneTeam Financial, LLC which is the operating entity for Mr. Dillon's advisory and insurance business. Mr. Dillon spends approximately forty hours per week during trading hours working under this entity.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory F Dillon'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®
CFP®
Start date: 2013
Experience
Current
November 8, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 331 Newman Springs Road Bldg. 1, Suite 107, Red Bank, NJ 07701Office #2: 200 Connell Park Suite 2l8a, Berkeley Heights, NJ 07922RIA
CRD#: 156480
Red Bank, NJ
Current
October 2, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701RIA
BD
CRD#: 43285
Red Bank, NJ
Past
November 29, 2012 - March 7, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Cranford, NJ
Past
November 14, 2007 - August 9, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)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.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
Alaska(8/24/2021)
RR
California(9/7/2018)
RR
Colorado(1/2/2018)
RR
Connecticut(8/24/2021)
RR
Delaware(3/1/2013)
RR
Florida(3/1/2013)
IAR
Florida(11/29/2023)
RR
Illinois(12/17/2024)
RR
Indiana(6/20/2022)
RR
Kansas(1/26/2023)
RR
Massachusetts(5/13/2014)
RR
Missouri(6/2/2025)
RR
Nevada(10/31/2022)
RR
New Hampshire(7/7/2025)
RR
New Jersey(10/2/2012)
IAR
New Jersey(11/9/2023)
RR
New Mexico(4/24/2019)
RR
New York(12/4/2012)
IAR
New York(11/8/2023)
RR
North Carolina(4/24/2017)
RR
Ohio(6/27/2023)
RR
Pennsylvania(8/24/2021)
RR
Rhode Island(8/24/2021)
RR
South Carolina(8/24/2021)
RR
Tennessee(7/31/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
