Dereck R. Dillon
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.
Dereck Ryan Dillon, who also goes by Dereck R Dillon, Dereck Dillon, was a registered financial professional .
Dereck is a previously registered financial professional and started their career in finance in 2011. Dereck had worked at 3 firms and has passed the Series 66, SIE 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
August 25, 2016 - November 23, 2018
EDELMAN FINANCIAL ENGINES
December 10, 2014 - August 5, 2015
J.P. MORGAN SECURITIES LLC
July 25, 2013 - November 18, 2014
J.P. MORGAN SECURITIES LLC
July 10, 2013 - December 4, 2014
J.P. MORGAN SECURITIES LLC
August 8, 2011 - June 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2011 - June 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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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