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DD

Douglas A. Dick

Some features on this profile are disabled
CRD#: 2423736
DD

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.

Douglas Andrew Dick was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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. 10/2019- PKS - Registered Representative - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - SELLING FIXED ANNUITIES. 2. Fixed Insurance. Investment Related. 435 Devon Park Drive, Suite 715, Wayne PA 19087. Insurance. Agent. Start 1992. 2 hours per month during trading. Evaluate clients need for fixed insurance products. 3. Solicitor for Hanlon Investment Management. Investment Related. 1000 Continental Drive, Suite 430, King of Prussia PA 19406. Less than 10%. 4. Kathmere Capital Management. Investment Related. 435 Devon Park Drive, Suite 715, Wayne PA 19087. RIA. IAR. Start 2019. 5. Lion Street - Investment Related - 515 Congress Ave #2500 Austin, TX 78701. Insurance Agency. Agent. 12/2020. Advice on insurance products

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

October 1, 2019 - January 5, 2024

KATHMERE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 305118
WAYNE, PA
Past

October 1, 2019 - December 18, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Wayne, PA
Past

June 7, 2012 - October 1, 2019

PRIVATE ADVISOR GROUP, LLC

RIA
CRD#: 155216
KING OF PRUSSIA, PA
Past

September 29, 2009 - March 27, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
KING OF PRUSSIA, PA
Past

September 29, 2009 - October 9, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
KING OF PRUSSIA, PA
Past

July 16, 2008 - October 14, 2009

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

RIA
CRD#: 128716
EASTON, PA
Past

December 1, 2006 - October 1, 2009

OSAIC WEALTH, INC.

BD
CRD#: 23131
MALVERN, PA
Past

January 31, 2003 - December 4, 2006

INVESTMENT ADVISORS & CONSULTANTS, INC.

BD
CRD#: 7996
MALVERN, PA
Past

June 21, 2002 - January 31, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
NEWTOWN SQAURE, PA
Past

November 24, 1993 - January 31, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KC
KATHMERE CAPITAL MANAGEMENT, LLC
KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118 / SEC#: 801-117215

RIA
Registered Investment Advisory firm - (8/22/2019 Approved)

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: 6/18/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/1993
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 6
Date: 11/23/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KC
KATHMERE CAPITAL MANAGEMENT, LLC
KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118 / SEC#: 801-117215

RIA
Registered Investment Advisory firm - (8/22/2019 Approved)
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Contact information

Main Address
435 Devon Park Drive Suite 715, Wayne, PA 19087
Mailing Address
Phone number
(610) 989-3900
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KATHMERE CAPITAL MANAGEMENT ADV PART 2A 2022 (10/31/2025)

Regulatory assets under management

Total Number of Accounts2,402
AUM (Assets Under Management)$ 2,468,761,634

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

KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118

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