William R. Dixon
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.
William Robert Dixon JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 8 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1988 - November 11, 1991
ALERT EQUITY CORPORATION
June 18, 1976 - April 13, 2009
CAPITAL CONCEPTS INVESTMENT CORP.
April 22, 1976 - June 18, 1976
ROBERT E GEE CAPITAL RESOURCES INC
February 1, 1974 - May 9, 1976
CINCINNATI ANALYSTS, INC.
April 10, 1973 - January 19, 1974
C. A. MANAGEMENT CORPORATION
February 4, 1972 - April 10, 1973
PROTECTED INVESTORS OF AMERICA
June 23, 1970 - February 1, 1974
FML FUNDS DISTRIBUTION COMPANY
August 20, 1968 - February 4, 1972
GRAY, AMONETTE & 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 1
Date: 8/15/1968
Registered Representative ExaminationSeries 00
Date: 4/5/1973
General Securities Principal ExaminationCurrent Firm
ALERT EQUITY CORPORATION
CRD#: 22472 / SEC#: , 8-39752
Contact information
Documents
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.
