Richard M. Dixon

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CRD#: 1154318

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Murry Dixon, who also goes by Richard M Dixon, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Richard M Dixon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 19, 1983 - November 19, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

AETNA LIFE INSURANCE AND ANNUITY COMPANY

AETNA LIFE INSURANCE & ANNUITY CO | ING LIFE INSURANCE AND ANNUITY COMPANY | AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256 / SEC#: , 8-15409

Terminated by SEC on 01/16/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Connecticut since 01/13/1976

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AETNA RETIREMENT HOLDINGS, INC.	PARENT
BAKER, ALLAN	DIRECTOR AND SENIOR VICE PRESIDENT	850724
KIM, JOHN YONG	SR. VICE PRESIDENT/CHIEF INVESTMENT OFFICER	2010539
MCINERNEY, THOMAS JOSEPH	PRESIDENT AND DIRECTOR	2400561
MURPHY, BRIAN JOHN	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2825925
SMITH, CATHERINE HALE	DIRECTOR, SENIOR VP, CHIEF FINANCIAL OFFICER
WICKMAN, KIRK PETER	SENIOR VP, GENERAL COUNSEL, CORP. SECRETARY	2836950

Disclosures

Regulatory Event

Red Flags

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