Craig A. Dickey
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.
Craig Allen Dickey, who also goes by Craig Allan Dickey, Craig A Dickey, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1986. Craig had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2024 - September 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 2023 - September 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2015 - October 17, 2016
PRINCIPAL SECURITIES, INC.
January 6, 2015 - January 23, 2015
HOGAN INVESTMENT COUNSEL, LLC
October 23, 2013 - December 31, 2014
PRINCIPAL SECURITIES, INC.
October 15, 2013 - December 31, 2014
PRINCIPAL SECURITIES, INC.
December 4, 2012 - October 16, 2013
SECURIAN FINANCIAL SERVICES, INC.
September 5, 2012 - October 16, 2013
SECURIAN FINANCIAL SERVICES, INC.
September 30, 2011 - August 16, 2012
P.J. ROBB VARIABLE, LLC
March 30, 2007 - June 9, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 26, 2000 - March 19, 2007
TRANSAMERICA CAPITAL, LLC
October 19, 1998 - March 4, 1999
EQUITABLE DISTRIBUTORS, LLC
November 27, 1991 - July 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1988 - December 10, 1991
LEHMAN BROTHERS INC.
June 28, 1988 - August 1, 1988
VINING-SPARKS SECURITIES, INC.
September 23, 1986 - June 13, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 7TO
Date: 11/18/2023
General Securities Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
