David C. Dickerson

CLEARVIEW FINANCIAL PLANNING

Southold, NY 11971

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CRD#: 2443212

Professional summary

David Carleton Dickerson, who also goes by David C Dickerson, is a registered financial advisor currently at CLEARVIEW FINANCIAL PLANNING, INC. located in Southold, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David C Dickerson

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) - RIA

Click below to view David Carleton Dickerson's CRS (Customer Relationship Summary).

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

January 3, 2022 - Present

CLEARVIEW FINANCIAL PLANNING, INC.

Office #1: 51020 Main Road, Southold, NY 11971

RIA

CRD#: 291834

Southold, NY

Past

July 3, 2018 - December 20, 2021

CLEARVIEW FINANCIAL PLANNING, INC.

RIA

CRD#: 291834

SOUTHOLD, NY

Past

March 12, 2004 - October 18, 2016

VP DISTRIBUTORS LLC

CRD#: 3036

NEW YORK, NY

Past

January 27, 2000 - November 14, 2002

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

January 27, 1994 - January 31, 2000

PXP SECURITIES CORP.

CRD#: 22898

HARTFORD, CT

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".

CLEARVIEW FINANCIAL PLANNING, INC.

CLEARVIEW FINANCIAL PLANNING CORP | CLEARVIEW FINANCIAL PLANNING, INC.

CRD#: 291834 / SEC#: 801-120791

RIA

Registered Investment Advisory firm - (4/13/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/4/2021 Terminated)

New York

Registered Investment Advisory firm - (6/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(1/3/2022)

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 65

Date: 1/22/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/1994

General Securities Representative Examination

Current Firm

CLEARVIEW FINANCIAL PLANNING, INC.

CLEARVIEW FINANCIAL PLANNING CORP | CLEARVIEW FINANCIAL PLANNING, INC.

CRD#: 291834 / SEC#: 801-120791

RIA

Registered Investment Advisory firm - (4/13/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/4/2021 Terminated)

New York

Registered Investment Advisory firm - (6/1/2021 Terminated)

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Contact information

Main Address

51020 Main Road, Southold, NY 11971

Mailing Address

P.o. Box 377, Southold, NY 11971

Phone number

(631) 765-8110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A CLEARVIEW FINANCIAL PLANNING INC. (3/7/2025)

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 32,193,732

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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David C. Dickerson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Carleton Dickerson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLEARVIEW FINANCIAL PLANNING, INC.

VP DISTRIBUTORS LLC

VP DISTRIBUTORS LLC

PXP SECURITIES CORP.

Primary Firm SEC Registration

CLEARVIEW FINANCIAL PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2018

Series 63

Date: 2/7/1994

SIE

Date: 10/18/2016

Series 7

Date: 1/26/1994

Current Firm

CLEARVIEW FINANCIAL PLANNING, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLEARVIEW FINANCIAL PLANNING, INC.

TRUST BUT VERIFY

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