Michael R. 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.
Michael Raoul Dixon, who also goes by Mike Dixon, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - March 1, 2013
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
January 4, 2008 - November 12, 2010
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 25, 2003 - December 31, 2007
HARBOUR INVESTMENTS, INC.
June 13, 2003 - November 21, 2003
T.S. PHILLIPS INVESTMENTS, INC.
August 9, 2001 - June 16, 2003
WFG INVESTMENTS, INC.
June 7, 1999 - August 1, 2001
HARBOUR INVESTMENTS, INC.
July 16, 1997 - March 30, 1999
SII INVESTMENTS, INC.
January 10, 1994 - July 16, 1997
INVESTMENT CENTERS OF AMERICA, INC.
April 12, 1993 - January 14, 1994
IDS LIFE INSURANCE COMPANY
April 12, 1993 - January 14, 1994
AMERIPRISE FINANCIAL SERVICES, 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
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
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.
