Catherine R. Dickerson
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.
Catherine Rae Dickerson, who also goes by Cathy Rae Dickerson, Cathy Dickerson, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1985. Catherine had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2015 - December 16, 2015
STATE FARM VP MANAGEMENT CORP.
November 11, 2011 - August 5, 2014
PRUCO SECURITIES, LLC.
April 18, 2005 - December 31, 2005
ONEAMERICA SECURITIES, INC.
May 15, 2001 - April 28, 2003
PAN-AMERICAN FINANCIAL ADVISERS
April 18, 1991 - January 16, 2001
METROPOLITAN LIFE INSURANCE COMPANY
April 18, 1991 - January 16, 2001
MSI FINANCIAL SERVICES, INC.
September 28, 1989 - November 30, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 30, 1986 - February 2, 1989
MORGAN STANLEY DW INC.
July 23, 1985 - June 26, 1986
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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