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John Charles Dixon

Dinosaur Financial Group, LLC

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About John Charles Dixon

John Charles Dixon is a financial professional with over 25 years of experience in the industry. Currently, John is registered with Dinosaur Financial Group, LLC, and is active in the securities industry. Prior to this, John has held positions with several other firms including Clearview Trading Advisors, Inc., Tejas Securities Group, Inc., Vining Sparks, Wunderlich Securities, Inc., Jesup & Lamont Securities Corp., Prudential Securities Incorporated, Lehman Brothers Inc., Equico Securities, Inc., and The Equitable Life Assurance Society of the United States. John has successfully completed the SIE, Series 3, and Series 7 exams.

Firm Information

John Dixon is currently registered with Dinosaur Financial Group, LLC. Dinosaur Financial Group, LLC is a Limited Liability Company formed in May 2000. The firm is registered to operate in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has a single SEC registration. The firm has disclosed five regulatory events and one arbitration event.

Not reported

Assets Under Management

Not reported

Total Clients

14

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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John Dixon’s Registration & Firm History

FL

05/06/2019 - Present

Dinosaur Financial Group, LLC (West Palm Beach FL)

NY

07/15/2014 - 05/02/2019

CLEARVIEW TRADING ADVISORS, INC. (NEW YORK NY)

NY

11/15/2011 - 07/14/2014

TEJAS SECURITIES GROUP, INC. (NEW YORK NY)

NY

03/01/2011 - 06/08/2011

VINING SPARKS (NEW YORK NY)

NY

07/22/2010 - 03/01/2011

WUNDERLICH SECURITIES, INC. (NEW YORK NY)

NY

03/04/2004 - 07/15/2010

JESUP & LAMONT SECURITIES CORP (NEW YORK NY)

NA

07/09/1992 - 03/07/1994

PRUDENTIAL SECURITIES INCORPORATED

NA

08/08/1988 - 07/20/1992

LEHMAN BROTHERS INC.

NA

05/03/1988 - 06/02/1988

EQUICO SECURITIES, INC.

NA

05/03/1988 - 05/25/1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

NA

01/01/1987 - 02/23/1988

WHALE SECURITIES

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Licenses & Designations

BC

Issued 08/07/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/22/1988

Series 3 - National Commodity Futures Examination

BC

Issued 11/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 7 public disclosures for John Charles Dixon. Review regulatory record here.
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