Dion A. Travagliante
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.
Dion Anthony Travagliante, who also goes by Travagliante Dion, Dion Travagliante, was a registered financial professional .
Dion is a previously registered financial professional and started their career in finance in 2014. Dion had worked at 2 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
July 28, 2014 - June 6, 2016
AFAM CAPITAL, INC.
February 3, 2014 - May 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
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
AFAM CAPITAL, INC.
CRD#: 108517 / SEC#: 801-30528
Contact information
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.
