Donald W. Diones
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.
Donald William Diones, who also goes by Don Diones, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1975. Donald had worked at 6 firms and has passed the SIE, Series 50, Series 1, Series 27, Series 54FN and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2000 - May 1, 2019
GEORGE K. BAUM & COMPANY
August 22, 1995 - October 31, 2000
AMERICUS INVESTMENT CORP.
October 22, 1992 - August 23, 1995
DOUGHERTY DAWKINS LLC
March 2, 1992 - October 19, 1992
AMERICAN FRONTEER FINANCIAL CORPORATION
October 19, 1983 - March 2, 1992
DIONES, BROOM, BATTREALL & BOEDEKER, INC.
October 1, 1975 - July 29, 1982
DBLKM INC.
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 1
Date: 1/7/1965
Registered Representative ExaminationSeries 54FN
Date: 8/20/1983
Municipal Securities Financial and Operations Principal ExaminationSeries 00
Date: 9/26/1975
General Securities Principal ExaminationCurrent Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
