Thomas A. 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.
Thomas Alexander Dillon III, who also goes by "tad" Dillon, Thomas Alexander Dillon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 15 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2013 - February 2, 2024
ASCENDIANT CAPITAL MARKETS, LLC
July 1, 2009 - January 9, 2013
CAPSTONE INVESTMENTS
May 16, 2007 - August 29, 2007
ROBERT VAN SECURITIES, INC.
June 12, 2003 - May 31, 2005
STANFORD GROUP COMPANY
June 11, 2002 - March 19, 2003
INVESTEC INC.
March 1, 2002 - April 16, 2002
ABN AMRO INCORPORATED
January 2, 2002 - March 1, 2002
ABN AMRO SECURITIES LLC
June 22, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
March 11, 1998 - October 8, 2001
UBS SECURITIES LLC
April 12, 1996 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
February 20, 1986 - March 27, 1996
SALOMON BROTHERS INC.
June 2, 1983 - February 10, 1986
J.C. BRADFORD & CO.
October 4, 1978 - June 23, 1983
PERSHING LLC
August 23, 1978 - November 16, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 20, 1975 - September 4, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/12/2004
Limited Representative-Equity Trader ExamCurrent Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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