Roy G. Dixon

Some features on this profile are disabled

CRD#: 1512146

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.

Roy Glen Dixon was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1986. Roy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

August 19, 2013 - December 3, 2020

ARMSTRONG DIXON

RIA

CRD#: 168345

BALTIMORE, MD

Past

August 19, 2013 - April 14, 2020

LPL FINANCIAL LLC

CRD#: 6413

MARRIOTTSVILLE, MD

Past

November 3, 2010 - August 26, 2013

PLANNING SOLUTIONS GROUP, LLC

RIA

CRD#: 154118

FULTON, MD

Past

November 1, 2010 - August 22, 2013

TRIAD ADVISORS LLC

CRD#: 25803

MAPLE LAWN, MD

Past

August 1, 2000 - June 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 1, 1999 - November 5, 2010

OSAIC FA, INC.

RIA

CRD#: 3978

MAPLE LAWN, MD

Past

June 1, 1998 - November 5, 2010

OSAIC FA, INC.

CRD#: 3978

MAPLE LAWN, MD

Past

May 2, 1997 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

December 5, 1996 - May 1, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

August 16, 1990 - December 13, 1996

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

June 23, 1986 - August 8, 1990

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARMSTRONG DIXON

ADAG, LLC | HOWARD DESIGNS, LLC | CELESTIAL WEALTH MANAGEMENT | ARMSTRONG DIXON | ADE, LLC

CRD#: 168345 / SEC#: 801-106631

RIA

Registered Investment Advisory firm - (9/8/2015 Approved)

Florida

Registered Investment Advisory firm - (9/9/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (10/14/2014 Terminated)

Maryland

Registered Investment Advisory firm - (9/9/2015 Terminated)

Virginia

Registered Investment Advisory firm - (9/11/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/23/1995

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/11/1991

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/20/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/1994

General Securities Principal Examination

Current Firm

ARMSTRONG DIXON

ADAG, LLC | HOWARD DESIGNS, LLC | CELESTIAL WEALTH MANAGEMENT | ARMSTRONG DIXON | ADE, LLC

CRD#: 168345 / SEC#: 801-106631

RIA

Registered Investment Advisory firm - (9/8/2015 Approved)

Florida

Registered Investment Advisory firm - (9/9/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (10/14/2014 Terminated)

Maryland

Registered Investment Advisory firm - (9/9/2015 Terminated)

Virginia

Registered Investment Advisory firm - (9/11/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1500 Sulgrave Ave, Baltimore, MD 21209

Mailing Address

Phone number

(443) 563-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND WRAP PROGRAM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 350,513,365

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy G. Dixon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

PLANNING SOLUTIONS GROUP, LLC

TRIAD ADVISORS LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

WADDELL & REED

LINCOLN FINANCIAL DISTRIBUTORS, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ARMSTRONG DIXON

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1991

Series 63

Date: 6/20/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/23/1995

Series 22

Date: 2/11/1991

Series 6

Date: 6/20/1986

Series 24

Date: 11/7/1994

Current Firm

ARMSTRONG DIXON

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARMSTRONG DIXON

TRUST BUT VERIFY

Similar Advisors