Stephen D. Dix

WELLINGTON CONSULTING SERVICES

CHANTILLY, VA 20151

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CRD#: 1700129

Professional summary

Stephen Douglas Dix is a registered financial advisor currently at WELLINGTON CONSULTING SERVICES INC located in Chantilly, Virginia.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Individual has been Vice President of Wellington Retirement Solutions, Inc. since January 1, 2015 which is investment-related insomuch as it engages in third-party recordkeeping for company retirement plans and is associated with the RIA entity, Wellington Consulting Services, Inc. About 50% of the individual's time (about 100 hours per month, including securities trading hours) is spent acting as an officer and manager for Wellington Retirement Solutions, Inc. at its following address: Wellington Retirement Solutions, Inc. 14325 Willard Road, Suite 104 Chantilly, VA 20151

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas Dix's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 25, 2000 - Present

WELLINGTON CONSULTING SERVICES INC

Office #1: 14325 Willard Rd. Suite 104, Chantilly, VA 20151

RIA

CRD#: 105837

CHANTILLY, VA

Past

January 18, 1995 - August 8, 1997

FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED

CRD#: 14538

TAMPA, FL

Past

January 10, 1994 - July 11, 1995

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

March 27, 1992 - January 6, 1994

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 4, 1990 - October 2, 1991

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

July 15, 1987 - October 1, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

WELLINGTON CONSULTING SERVICES INC

CRD#: 105837 / SEC#: 801-41552

RIA

Registered Investment Advisory firm - (6/1/1992 Approved)

Arizona

Registered Investment Advisory firm - (5/22/2004 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(2/25/2000)

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: 1/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLINGTON CONSULTING SERVICES INC

CRD#: 105837 / SEC#: 801-41552

RIA

Registered Investment Advisory firm - (6/1/1992 Approved)

Arizona

Registered Investment Advisory firm - (5/22/2004 Cancelled)

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Contact information

Main Address

14325 Willard Road Suite 104, Chantilly, VA 20151-2110

Mailing Address

Phone number

(877) 836-1993

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLINGTON CONSULTING SERVICES, INC. FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	7,803
AUM (Assets Under Management)	$ 1,305,263,534

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.

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Advisor Monitoring

Firm Stability Insights

Stephen D. Dix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas Dix's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED

MERIDIAN, DUNHILL & CO., INC.

TD AMERITRADE, INC.

MERIDIAN, DUNHILL & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WELLINGTON CONSULTING SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/1995

Series 63

Date: 9/6/1990

Series 7

Date: 8/31/1990

Series 6

Date: 7/14/1987

Current Firm

WELLINGTON CONSULTING SERVICES INC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLINGTON CONSULTING SERVICES INC

TRUST BUT VERIFY

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