James J. 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.
James Joseph Dillon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1999 - December 15, 1999
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
August 17, 1998 - June 23, 1999
MOORS & CABOT, INC.
October 1, 1993 - July 28, 1998
JOSEPHTHAL & CO., INC.
October 29, 1992 - July 25, 1994
DUNHILL EQUITIES, INC.
August 23, 1990 - October 29, 1992
DICKINSON & CO.
July 13, 1988 - July 23, 1990
ADVEST, INC.
February 28, 1983 - June 6, 1988
MORGAN STANLEY DW INC.
February 22, 1980 - February 22, 1983
MOSELEY SECURITIES CORPORATION
March 24, 1977 - March 15, 1980
FORESTERS FINANCIAL SERVICES, 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 1
Date: 3/21/1977
Registered Representative ExaminationCurrent Firm
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
CRD#: 2438 / SEC#: , 8-27504
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KIMBALL & CROSS WEB CAPITAL, INC. | HOLDING COMPANY | |
| HUDSON VALLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| CLIFFORD, JOHN CHANDLER | DIRECTOR, CFO, CCO, FIN/OP, CROP/ROP, GEN. SECURITIES PRIN. | 2249584 |
| DOLLER, CHARLES WILLIAM III | DIRECTOR | 2389795 |
| GILLIS, MARK JOSEPH | DIRECTOR | 2381496 |
| LAINE, RICHARD REINO JR | DIRECTOR, PRESIDENT, CEO, GENERAL SECURITIES PRINCIPAL | 2640877 |
| TOBIN, JOHN EDWARD | DIRECTOR, TREASURER, GENERAL SECURITIES PRINCIPAL | 2337695 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
