Kenneth J. 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.
Kenneth James Dixon, who also goes by Ken Dixon, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2014 - June 26, 2017
MERCAP SECURITIES, LLC
March 20, 2009 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
January 26, 2006 - March 20, 2009
ASH SECURITIES WHOLESALING, INC.
January 14, 1998 - November 18, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 14, 1998 - November 18, 2004
OSAIC FA, INC.
July 24, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 24, 1989 - December 3, 1997
PRUCO SECURITIES, LLC.
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
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
