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WD

William H. Dixon

Some features on this profile are disabled
CRD#: 68881
WD

Professional summary

William Herman Dixon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, William had worked at 11 firms, which includes SOUTHEAST INVESTMENTS N.C. INC., SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., WALL STREET FINANCIAL GROUP INC., REALTA EQUITIES INC., SUNAMERICA SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., INTEGRATED RESOURCES EQUITY CORPORATION, MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, FIFTH THIRD SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Dixon

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

October 7, 2019 - May 11, 2021

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

September 23, 2016 - October 8, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
URBANA, OH
Past

September 23, 2016 - October 8, 2019

SECURITIES AMERICA, INC.

BD
CRD#: 10205
URBANA, OH
Past

April 26, 2006 - September 23, 2016

WALL STREET FINANCIAL GROUP, INC.

RIA
CRD#: 35830
URBANA, OH
Past

January 8, 1998 - September 23, 2016

WALL STREET FINANCIAL GROUP, INC.

BD
CRD#: 35830
URBANA, OH
Past

September 21, 1989 - December 31, 1997

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

June 18, 1989 - September 14, 1989

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 5, 1987 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

October 25, 1982 - May 14, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

July 20, 1978 - February 17, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

June 24, 1976 - July 27, 1978

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

May 3, 1973 - April 15, 1976

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628

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
IAR
Series 65
Date: 4/13/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/1980
Uniform Securities Agent 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: 6/19/1976
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 4/28/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/2005
General Securities Principal Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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