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Dillon James Case

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-06
TX RA APPROVED 2022-05-31
  • CA RA
    APPROVED
    Since 2023-04-06
  • TX RA
    APPROVED
    Since 2022-05-31

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • 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
Wells Fargo Clearing Services, Llc Woodland Hills CA 08/2019 05/2022
Nothern Trust Tempe AZ 08/2018 07/2019
Mirco-Tec Chastworth CA 08/2010 08/2017
Arizona State University Tempe AZ 08/2015 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wichita Falls TX 05/2022 Present
Wallace Miller Chatsworth CA 12/2015 10/2018
Bank Of America, N.A. Wichita Falls TX 07/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-02
  • S66 Uniform Combined State Law Examination
    2019-12-02
Other Names
  • Dillon Case

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA
CARMANDALIAN FINANCIAL GROUP, LLC · WESTLAKE VILLAGE, CA

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