Jonathan Dixon
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.
Jonathan Dixon was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2005. Jonathan had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 3 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 13, 2015 - March 1, 2021
TOBIN & COMPANY SECURITIES LLC
November 26, 2012 - February 19, 2013
FGC SECURITIES, LLC
May 24, 2012 - January 4, 2013
COHEN & COMPANY SECURITIES, LLC
April 17, 2009 - May 2, 2012
PHOENIX DERIVATIVES GROUP, LLC
March 20, 2009 - March 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2005 - May 21, 2009
BANC OF AMERICA SECURITIES 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 55
Date: 8/7/2012
Limited Representative-Equity Trader ExamCurrent Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
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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