Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brian Dillon is an investment advisor representative at Regal Investment Advisors LLC. James Dillon is a Registered Representative who has been active in the industry since 2006. James Dillon has a Series 7, Series 66, and SIE. James Dillon previously worked at PROEQUITIES, INC., PNC INVESTMENTS, NATCITY INVESTMENTS, INC., and RAYMOND JAMES & ASSOCIATES, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Third party fees
1
2
IN
09/03/2014 - Present
Regal Investment Advisors LLC (PLYMOUTH IN)
IN
01/04/2010 - 09/24/2014
PROEQUITIES, INC. (PLYMOUTH IN)
IN
11/13/2009 - 12/03/2009
PNC INVESTMENTS (SOUTH BEND IN)
IN
04/14/2009 - 11/13/2009
NATCITY INVESTMENTS, INC. (SOUTH BEND IN)
IN
08/25/2006 - 03/30/2009
RAYMOND JAMES & ASSOCIATES, INC. (MISHAWAKA IN)
BOTH
Issued 09/14/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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