Robert C. Dieck
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.
Robert Charles Dieck, who also goes by Bob Dieck, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 3 firms and has passed the Series 63 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
November 13, 2002 - October 2, 2013
SUPERIOR FINANCIAL SERVICES,INC.
April 24, 1991 - December 13, 2002
FIRST MIDWEST SECURITIES, INC.
June 9, 1987 - April 29, 1991
THRIVENT INVESTMENT MANAGEMENT INC.
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
SUPERIOR FINANCIAL SERVICES,INC.
CRD#: 104165 / SEC#: , 8-52618
Contact information
FINRA licenses (27 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
