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CRD#: 42185
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for DIRKS & COMPANY, INC. Comes From
Understanding the Statistics for DIRKS & COMPANY, INC. and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
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HNWI
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MISC
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Employees
Total
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Registered
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Client Ratios
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Clients
Total
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Individuals
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HNWI
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Firm Disclosures
Regulatory Event
6
Arbitration
3
FIRM INFORMATION
Established
New York since 03/12/1996
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 | |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at DIRKS & COMPANY, INC.
NG
Neal Gordon
IAR
RR
CRD#: 5722221
Location:
Rockaway, NJ
Company:
LPL FINANCIAL LLC
Disclosures:
Experience:
16 years
JS
Jenna Reigh Shermoen
IAR
RR
CRD#: 6485599
Location:
Minneapolis, MN 55402
Company:
RIVERBRIDGE
Disclosures:
Experience:
7 years
LJ
Lawrence F Jones
PR
CRD#: 1848854
Location:
San Mateo, CA 94403
Company:
FRANKLIN DISTRIBUTORS, LLC
Disclosures:
Experience:
37 years
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