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Investment Adviser Representative Summary

BRANDON LEE DIXON-JAMES (CRD# 4812434)

The report summary provides an overview of the Investment Adviser Representative's professional background and conduct. The information contained in this report has been provided by the Investment Adviser Representative, investment adviser and/or securities firms, and/or securities regulators as part of the states' investment adviser registration and licensing process. The information contained in this report was last updated by the Investment Adviser Representative, a previous employing firm, or a securities regulator on 11/13/2018.

CURRENT EMPLOYERS

ROYAL ALLIANCE ASSOCIATES, INC.
IARD# 23131
590 W. ALLUVIAL AVENUE
SUITE 108
FRESNO, CA  93711
Registered with this firm since: 01/11/2013

NWF ADVISORY SERVICES INC
IARD# 110410
15821 VENTURA BLVD. #660
ENCINO, CA  91436
Registered with this firm since: 10/08/2013


QUALIFICATIONS


This Investment Adviser Representative is currently registered in 1 jurisdiction(s).

Is this Investment Adviser Representative currently suspended with any jurisdiction? No

Note: Not all jurisdictions require IAR registration or may have an exemption from registration.
Additional information including this individual's qualification examinations and professional designations is available in the Detailed Report.

REGISTRATION HISTORY


This Investment Adviser Representative was previously registered with the following Investment Adviser firms:

FIRM (IARD#) - LOCATION REGISTRATION DATES
J.P. MORGAN SECURITIES LLC (IARD# 79) -  GRANADA HILLS, CA
10/01/2012 - 01/08/2013
CHASE INVESTMENT SERVICES CORP. (IARD# 25574) -  GRANADA HILLS, CA
02/12/2010 - 10/01/2012
CITIGROUP GLOBAL MARKETS INC. (IARD# 7059) -  WOODLAND HILLS, CA
08/05/2008 - 01/21/2010
For additional registration and employment history details as reported by the individual, refer to the Registration and Employment History section of the Detailed Report.

DISCLOSURE INFORMATION


Disclosure events include certain criminal charges and convictions, formal investigations and disciplinary actions initiated by regulators, customer disputes and arbitrations, and financial disclosures such as bankruptcies and unpaid judgments or liens.
Are there events disclosed about this Investment Adviser Representative? No

BROKER DEALER INFORMATION


This individual is registered as a broker and an investment adviser representative. For more information about this individual's record as a broker, visit FINRA's BrokerCheck website at: http://www.finra.org/brokercheck