David J. Dicks

OCALA CAPITAL

Ocala, FL 34470

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CRD#: 2387537

Professional summary

David Jeffrey Dicks, who also goes by Jeff Dicks, Jeffrey Dicks, is a registered financial advisor currently at OCALA CAPITAL, LLC located in Ocala, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Dicks | Jeffrey Dicks

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.

1) L.DICKS INC.FAMILY CITRUS BUSINESS-DUNDEE, FL- INC. SINCE 1970-PART TIME-GROVE WORK-NO OWNERSHIP,1% OF TIME SPENT. 2) DICKS FAMILY PARTNERSHIP - 608 W FREDERICK AVE., DUNDEE, FL 33838, FAMILY LIMITED PARTNERSHIP, LIMITED PARTNER, LESS THAN 1% OF TIME SPENT. 3) JEFF, BRYAN & RONALD, LLC - 608 FREDERICK AVE, DUNDEE, FL 33838, CITRUS PROPERTIES, MANAGING MEMBER, VOTING DUTIES, 1% OF TIME SPENT. 4) RONALD DICKS IRREVOCABLE LIFE INSURANCE TRUST - P.O. BOX 1809 DUNDEE, FL 33838; NON INVESTMENT RELATED; CO-TRUSTEE; FIDUCIARY DUTIES OF TRUSTEE; 1% OF TIME SPENT 5) KOKOMO GROVE, LLC - P.O. BOX 2854, WINTER HAVEN, FL 33883; CITRUS GROVE ACREAGE; NON-INVESTMENT RELATED; MANAGER; DEPOSIT CITRUS PROCEED CHECKS AND PAY CARETAKING BILLS AND TAXES; LESS THAN 1% TIME SPENT 6) SOLE PROPRIETOR - INSURANCE SALES - 620 DUNDEE RD SUITE D, DUNDEE FL 33838; INSURANCE SALES; NON-INVESTMENT; FINANCIAL CONSULTANT; SALES; <1% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jeffrey Dicks's CRS (Customer Relationship Summary).

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

Current

November 7, 2018 - Present

OCALA CAPITAL, LLC

Office #1: 1396 Ne 20th Ave. Suite 600, Ocala, FL 34470

RIA

CRD#: 174846

Ocala, FL

Past

January 3, 2012 - March 29, 2018

KOVACK SECURITIES INC.

CRD#: 44848

DUNDEE, FL

Past

August 5, 2011 - December 31, 2011

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

WINTER HAVEN, FL

Past

October 6, 2010 - December 31, 2011

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

WINTER HAVEN, FL

Past

January 1, 2008 - July 15, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WINTER HAVEN, FL

Past

January 1, 2008 - July 15, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WINTER HAVEN, FL

Past

July 24, 2000 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WINTER HAVEN, FL

Past

July 21, 2000 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

WINTER HAVEN, FL

Past

March 23, 1994 - April 18, 1994

ALLEN & COMPANY OF FLORIDA, LLC

CRD#: 25

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/7/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/30/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/8/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/2000

General Securities Representative Examination

Current Firm

OCALA CAPITAL, LLC

CRD#: 174846 / SEC#:

Florida

Registered Investment Advisory firm - (8/19/2015 Approved)

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Contact information

Main Address

1396 Ne 20th Ave. Suite 600, Ocala, FL 34470

Mailing Address

Phone number

(352) 369-0014

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 13,201,458

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.

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Advisor Monitoring

Firm Stability Insights

David J. Dicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jeffrey Dicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK SECURITIES INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

ALLEN & COMPANY OF FLORIDA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2018

Series 63

Date: 7/21/2000

SIE

Date: 3/29/2018

Series 3

Date: 6/8/2004

Series 7

Date: 7/20/2000

Current Firm

OCALA CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCALA CAPITAL, LLC

TRUST BUT VERIFY

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