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SD

Simon C. Dionne

DESJARDINS SECURITIES INTERNATIONAL
Montreal, Quebec, H3B 0A9
Some features on this profile are disabled
CRD#: 5404689
SD

Professional summary

Simon Charles Dionne is a registered financial professional currently at DESJARDINS SECURITIES INTERNATIONAL INC. .

Simon is registered as a RR (Registered Representative) and started their career in finance in 2007. Simon has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon Charles Dionne'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®
None

Experience

Current

January 22, 2010 - Present

DESJARDINS SECURITIES INTERNATIONAL INC.

Office #1: 1170 Peel Street Suite 300, Montreal, Quebec, H3B 0A9
BD
CRD#: 112417
Montreal, Quebec,
Past

December 18, 2007 - August 31, 2009

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(1/22/2010)
RR
Connecticut
(1/22/2010)
RR
Florida
(1/22/2010)
RR
Illinois
(1/22/2010)
RR
Massachusetts
(1/22/2010)
RR
New Jersey
(1/22/2010)
RR
New York
(1/22/2010)
RR
Texas
(1/22/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 1/22/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DESJARDINS SECURITIES INTERNATIONAL INC.
3858839 CANADA INC. | DESJARDINS SECURITIES INTERNATIONAL INC. | DESJARDINS SECURITIES INTERNATIONAL INC

CRD#: 112417 / SEC#: , 8-53256

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1170 Peel Street Suite 300, Montreal, Quebec, H3B 0A9
Mailing Address
1170 Peel Street Suite 300, Montreal, Quebec, H3B 0A9
Phone number
(514) 841-1273
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DESJARDINS SECURITIES INC.SHAREHOLDER
CABEL, DAVID WILLIAMCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER5983651
CHARETTE, DANNYDIRECTOR, FINOP7285881
LOUDIN, RADEKDIRECTOR, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER5429096

Disclosures

Regulatory Event1

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.

Company Information

DESJARDINS SECURITIES INTERNATIONAL INC.

CRD#: 112417Montreal, Quebec, H3B 0A9

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