Dixie L. Thomas
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.
Dixie Lee Thomas, CFP®, ChFC®, CLU®, who also goes by Dixie Lee Plummer, Dixie Lee Stoller, was a registered financial professional .
Dixie is a previously registered financial professional and started their career in finance in 1998. Dixie had worked at 8 firms and has passed the Series 65, Series 63, 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: 2010
Experience
November 29, 2017 - December 31, 2023
LPL FINANCIAL LLC
November 29, 2017 - December 31, 2023
LPL FINANCIAL LLC
January 26, 2006 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
January 26, 2006 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
October 13, 2005 - January 27, 2006
QUESTAR ASSET MANAGEMENT, INC.
October 13, 2005 - January 27, 2006
QUESTAR CAPITAL CORPORATION
July 13, 2005 - October 18, 2005
SII INVESTMENTS, INC.
July 13, 2005 - October 18, 2005
SII INVESTMENTS, INC.
January 8, 2004 - January 3, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 14, 2003 - January 3, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 11, 1998 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 11, 1998 - November 15, 2003
OSAIC FA, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
