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WD

William Y. Dickey

Some features on this profile are disabled
CRD#: 2141668
WD

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.

William Young Humphreys Dickey, who also goes by Bill Dickey, William Y H Dickey, William Younghumphreys Dickey, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1992. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Dickey | William Y H Dickey | William Younghumphreys Dickey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 15, 2019 - March 11, 2020

ETICO WEALTH MANAGEMENT LLC

RIA
CRD#: 151046
Palm Beach, FL
Past

January 15, 2019 - March 11, 2020

ETICO PARTNERS, LLC

BD
CRD#: 122481
SARATOGA SPRINGS, NY
Past

June 1, 2009 - December 19, 2018

MORGAN STANLEY

RIA
CRD#: 149777
GREENWICH, CT
Past

June 1, 2009 - December 19, 2018

MORGAN STANLEY

BD
CRD#: 149777
GREENWICH, CT
Past

March 7, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GREENWICH, CT
Past

November 30, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
GREENWICH, CT
Past

June 10, 1993 - July 6, 1994

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

December 18, 1992 - April 29, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/8/1996
Corporate Securities Limited Representative Examination

Current Firm

EW
ETICO WEALTH MANAGEMENT LLC
ANDREW FINANCIAL GROUP, LLC | WAYPOINT WEALTH PLANNING | ETICO WEALTH MANAGEMENT LLC | DLG WEALTH MANAGEMENT LLC | DLG FINANCIAL GROUP

CRD#: 151046 / SEC#: 801-70445

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Contact information

Main Address
19 Railroad Place Suite 202, Saratoga Springs, NY 12866
Mailing Address
Phone number
800-433-0422 X.114
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Part 2 Brochures

Regulatory assets under management

Total Number of Accounts2
AUM (Assets Under Management)$ 225,507

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.

Company Information

ETICO WEALTH MANAGEMENT LLC

CRD#: 151046

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