Michael G. Dixon
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.
Michael Gene Dixon, CFP®, who also goes by Michael G Dixon, Mike Dixon, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 4 firms and has passed the Series 66, Series 99TO, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
February 7, 2014 - May 31, 2024
PURSHE KAPLAN STERLING INVESTMENTS
February 6, 2014 - May 31, 2024
DIXON AND COMPANY WEALTH MANAGEMENT, LLC
January 13, 2012 - February 5, 2014
LPL FINANCIAL LLC
January 13, 2012 - February 5, 2014
LPL FINANCIAL LLC
September 11, 2006 - January 23, 2012
UBS FINANCIAL SERVICES INC.
August 24, 2006 - January 23, 2012
UBS FINANCIAL SERVICES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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