Diane P. 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.
Diane Paulette Dixon, who also goes by Diane P Dixon, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1990. Diane had worked at 4 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
August 13, 2015 - December 8, 2015
NATIONAL CHRISTIAN FINANCIAL ADVISORS, INC
June 4, 2008 - August 5, 2010
MSI FINANCIAL SERVICES, INC.
July 26, 1990 - December 31, 1992
FIRST MONTAUK SECURITIES CORP.
February 20, 1990 - June 29, 1990
OXFORD CAPITAL SECURITIES, 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
NATIONAL CHRISTIAN FINANCIAL ADVISORS, INC
CRD#: 154794 / SEC#: 801-72150
Contact information
Regulatory assets under management
| Total Number of Accounts | 53 |
| AUM (Assets Under Management) | $ 4,467,306 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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