Gerald L. Dix
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.
Gerald L Dix was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1991. Gerald had worked at 4 firms and has passed the 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
Experience
February 13, 2008 - December 31, 2009
DIX AND COMPANY, PC
November 26, 2002 - January 14, 2016
LPL FINANCIAL LLC
January 10, 2002 - January 14, 2016
LPL FINANCIAL LLC
January 26, 1999 - December 31, 2007
DIX AND COMPANY, PC
June 5, 1991 - January 18, 2002
HOCHMAN & BAKER SECURITIES, INC.
March 15, 1991 - June 11, 1991
KEOGLER, MORGAN & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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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