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CL

Caytes J. Liley

DINAN CAPITAL ADVISORS
Phoenix, AZ 85008-6589
Some features on this profile are disabled
CRD#: 6019440
CL

Professional summary

Caytes Jordan Liley, who also goes by Cj Liley, is a registered financial professional currently at DINAN CAPITAL ADVISORS located in Phoenix, Arizona.

Caytes is registered as a RR (Registered Representative) and started their career in finance in 2015. Caytes has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cj Liley

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 Caytes Jordan Liley'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

July 16, 2018 - Present

DINAN CAPITAL ADVISORS

Office #1: 307 N Gateway Blvd, Phoenix, AZ 85008-6589Office #2: 307 N Gateway Blvd, Phoenix, AZ 85008-6589
BD
CRD#: 157327
Phoenix, AZ
Past

September 22, 2015 - July 15, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

August 5, 2015 - July 15, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ

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
Arizona
(7/19/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2015
Uniform Combined 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: 8/5/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DINAN CAPITAL ADVISORS
CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS | DCCA SECURITIES, LLC

CRD#: 157327 / SEC#: , 8-68847

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Mailing Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Phone number
(855) 955-1500
Established
Arizona since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DINAN & COMPANY, LLCMEMBER / MANAGER
DINAN, MICHAEL ANTHONYCEO, PRINCIPAL1598465
KELLY, JOHN GREGORYEVP, PRINCIPAL5651780
MAIN, THOMAS BENNETTSVP, PRINCIPAL5912844
MARTINEZ, NANCY DINANCCO5912831
MILLER, DAVID WELLSCFO-FINOP334612

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

DINAN CAPITAL ADVISORS

CRD#: 157327Phoenix, AZ 85008-6589

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