Randle W. Dick
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.
Randle Wayne Dick, who also goes by Randy Dick, was a registered financial professional .
Randle is a previously registered financial professional and started their career in finance in 1983. Randle had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2003 - December 4, 2020
ON INVESTMENT MANAGEMENT CO
September 3, 2003 - November 6, 2017
REA CAPITAL MANAGEMENT, LLC
March 14, 1994 - December 4, 2020
THE O.N. EQUITY SALES COMPANY
March 30, 1992 - March 14, 1994
PRINCIPAL SECURITIES, INC.
July 15, 1986 - April 8, 1992
ROBERT W. BAIRD & CO. INCORPORATED
November 8, 1983 - April 8, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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