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TD

Thomas J. Dillon

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CRD#: 601898
TD

Professional summary

Thomas James Dillon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Thomas had worked at 4 firms, which includes PENNALUNA & COMPANY, OLSEN PAYNE & COMPANY, DILLON SECURITIES INC., SANDBERG SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas J 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®
None

Experience

Past

January 23, 2003 - May 26, 2010

PENNALUNA & COMPANY

BD
CRD#: 11604
COUER D'ALENE, ID
Past

May 3, 1993 - November 8, 2002

OLSEN PAYNE & COMPANY

BD
CRD#: 15607
SALT LAKE CITY, UT
Past

August 10, 1982 - May 22, 1990

DILLON SECURITIES, INC.

BD
CRD#: 10660
Past

December 21, 1976 - November 24, 1977

SANDBERG SECURITIES, INC.

BD
CRD#: 6378

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
RR
Series 63
Date: 9/2/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 10/11/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 12/18/1976
Registered Principal Examination

Current Firm

P&
PENNALUNA & COMPANY
GOLD UNLIMITED, INC. | PENNALUNA & COMPANY INC. | PENNALUNA & COMPANY

CRD#: 11604 / SEC#: , 8-15943

BD
Terminated by SEC on 11/29/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Idaho since 06/16/1970
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FORREST G. GODDE 1998 TRUSTSHAREHOLDER
GILES, MICHAEL HARLANDSHAREHOLDER/DIRECTOR6148642
NICKLAS, RONALD BRUCE JRPRESIDENT/CHIEF COMPLIANCE OFFICER/SHAREHOLDER/DIRECTOR1055099
WOBKER, THOMAS FSHAREHOLDER/SECRETARY2718456
WORRELL, JOHN ROBERTSHAREHOLDER/VP2426176
NEUBAUER, KATHY VIOLETFINANCIAL OPERATIONS PRINCIPAL2992488
TRACZ, ROBERT JOHNTRUSTEE OF FORREST G. GODDE TRUST 19985880816

Disclosures

Regulatory Event14

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

PENNALUNA & COMPANY

CRD#: 11604

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