Ray E. Dillon

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CRD#: 5841135

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.

Ray Ernest Dillon IV, CFP®, who also goes by Chase Dillon, Ray Dillon, was a registered financial professional .

Ray is a previously registered financial professional and started their career in finance in 2010. Ray had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chase Dillon | Ray Dillon

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)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2013

Experience

Past

April 2, 2015 - August 7, 2018

FWM LEGACY, LLC

RIA

CRD#: 144344

WICHITA, KS

Past

April 2, 2015 - December 4, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Wichita, KS

Past

November 19, 2010 - April 22, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WICHITA, KS

Past

October 14, 2010 - April 22, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WICHITA, KS

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/18/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2010

General Securities Representative Examination

Current Firm

FWM LEGACY, LLC

FRONTIER WEALTH MANAGEMENT, LLC | FWM LEGACY, LLC

CRD#: 144344 / SEC#: 802-127130

RIA

Registered Investment Advisory firm - (10/21/2022 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).

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Contact information

Main Address

4200 W. 115th Street Suite 210, Leawood, KS 66211

Mailing Address

Phone number

(816) 753-5100

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/31/2022)

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2022	Cover Page	Report
08/18/2022	Cover Page	Report
04/11/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	12/5/2022

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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Ray E. Dillon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FWM LEGACY, LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2010

SIE

Date: 12/4/2017

Series 7

Date: 10/13/2010

Current Firm

FWM LEGACY, LLC

Contact information

Documents

Part 2 Brochures

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

FWM LEGACY, LLC

TRUST BUT VERIFY

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