Liam Dalton has been CEO, Managing Member, Chairman, Comptroller of Axiom Investment Management since August 2006, is a control person of the firm and directly owns 75% or more of it.
Axiom Investment Management LLC is a New York, NY firm with $237M under management, 214 clients and 4 advisers in one office, as of its April 2026 filing.
- – present · 4 yearsNew York, NY · Adviser representative · Firm CRD 141516
Investment adviser representative registrations
Liam Dalton is registered as an investment adviser representative in New York, since December 2021.
- New YorkSince 2 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 December 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 5 July 1994 |
| Series 4 | Registered Options Principal Examination | 30 April 1994 |
| Series 27 | Financial and Operations Principal Examination | 8 November 1990 |
| Series 24 | General Securities Principal Examination | 1 December 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 January 1985 |
| Series 7 | General Securities Representative Examination | 15 December 1984 |
- Name
- Municipal Securities Representative Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Liam Francis Dalton
- CRD
- 1327801
- Firm
- Axiom Investment Management · CRD 141516
- Role
- CEO, Managing Member, Chairman, Comptroller
- Office
- 350 FIFTH AVENUE, SUITE 6740, New York, NY 10118
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Liam Dalton work?
Liam Dalton has been CEO, Managing Member, Chairman, Comptroller of Axiom Investment Management LLC since August 2006, and is a control person of the firm.
Is Liam Dalton a financial advisor?
Yes. Liam Dalton has a current investment-adviser registration in New York, through Axiom Investment Management since December 2021.
How many years of experience does Liam Dalton have?
Liam Dalton has 41 years in the financial industry, since December 1984, across 1 adviser firm.
What exams has Liam Dalton passed?
Liam Dalton has passed 10 licensing exams: the Series 7, Series 63, Series 24, Series 27, Series 4, Series 53, Series 65, Series 52TO, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in December 1984. FINRA credited Liam Dalton with the SIE, which began in October 2018.
Where is Liam Dalton based?
Liam Dalton’s registered office is in New York, NY.
Is Liam Dalton registered with FINRA?
Yes. Liam Dalton has a current broker registration, under CRD 1327801.
Source: FINRA BrokerCheck
How can I verify Liam Dalton’s record?
Search CRD 1327801 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Liam Dalton’s full registration record.