Raymond 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.
Raymond Dillon was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1970. Raymond had worked at 10 firms and has passed the Series 15, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2006 - January 4, 2007
BROOKSTREET SECURITIES CORPORATION
August 4, 2000 - March 21, 2005
NEVWEST SECURITIES CORPORATION
December 4, 1995 - August 17, 1999
ALAMO CAPITAL
June 13, 1994 - November 20, 1995
ASSOCIATED SECURITIES CORP.
January 21, 1991 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
September 20, 1989 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 6, 1987 - June 8, 1989
GFC SECURITIES CORPORATION
January 31, 1980 - August 17, 1987
UBS FINANCIAL SERVICES INC.
June 18, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 6, 1970 - December 20, 1975
CROWELL, WEEDON & CO.
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 15
Date: 12/1/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 9/7/1965
Registered Representative ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
