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Inactive

Regis R Dillon

Corient

Garden City, NY

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-06-14
TX RA APPROVED 2023-06-14
  • NY RA
    APPROVED
    Since 2023-06-14
  • TX RA
    APPROVED
    Since 2023-06-14

Branch Locations

1050 Franklin Ave #400, Garden City, NY 11530 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Purshe Kaplan Sterling Investments Albany NY 05/2015 03/2023
La Ferla Group Llc Garden City NY 05/2015 07/2023
Corient Garden City NY 05/2023 Present
Cipw Service Company, Llc Toronto 05/2023 07/2023
Corient Services Llc Miami FL 07/2023 Present
  • 05/2015 → 03/2023
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 05/2015 → 07/2023
    La Ferla Group Llc
    Garden City, NY
  • 05/2023 → Present
    Corient
    Garden City, NY
  • 05/2023 → 07/2023
    Cipw Service Company, Llc
    Toronto
  • 07/2023 → Present
    Corient Services Llc
    Miami, FL
Previous Registrations
  • 2022-06-15 → 2023-08-03
    La Ferla Group Llc
    Garden City, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-16
S63 Uniform Securities Agent State Law Examination 2011-05-17
  • S66 Uniform Combined State Law Examination
    2011-09-16
  • S63 Uniform Securities Agent State Law Examination
    2011-05-17
Designations
Other Names
  • Regis Dillon

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARKADIOS WEALTH ADVISORS
CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO

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JULIA BATTAGLIA
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ELLEN M CHAN
Jesse M Silver

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

More in Garden City, NY

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