J D. Collins
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.
J Dillon Collins, who also goes by Dillon J Collins, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 2005. J had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 57 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 3, 2019 - September 14, 2021
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 13, 2015 - April 1, 2019
CHARDAN CAPITAL MARKETS LLC
May 31, 2005 - September 11, 2007
NEUBERGER BERMAN BD LLC
April 1, 2005 - September 11, 2007
NEUBERGER BERMAN BD LLC
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: 3/12/2024
General Securities Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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.
