Paul A. Dickens

LPL ENTERPRISE

Katy, TX

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CRD#: 2620396

Professional summary

Paul Anthony Dickens is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Katy, Texas.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) 01/16/2025 - LLH Healthcare - Non-Variable Insurance/Insurance Agency - This cpompany p[rovides Health insurance to companies that are unable to provide due to low income. - INV Related - At Birmingham, AL - Start Date 02/06/2024 - 10hrs/mth - 10hrs During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Dickens's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Paul Anthony Dickens'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

Katy, TX

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

Katy, TX

Past

May 3, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Katy, TX

Past

May 3, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Katy, TX

Past

September 28, 2017 - May 16, 2022

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HOUSTON, TX

Past

September 28, 2017 - May 16, 2022

PARK AVENUE SECURITIES LLC

CRD#: 46173

HOUSTON, TX

Past

July 30, 2015 - November 20, 2017

SOVEREIGN WEALTH ADVISORS LLC

RIA

CRD#: 188524

HOUSTON, TX

Past

June 24, 2015 - October 12, 2017

LPL FINANCIAL LLC

CRD#: 6413

KATY, TX

Past

December 3, 2012 - June 11, 2015

EDWARD JONES

RIA

CRD#: 250

KATY, TX

Past

December 3, 2012 - June 11, 2015

EDWARD JONES

CRD#: 250

KATY, TX

Past

June 30, 2010 - December 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

June 30, 2010 - December 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

Past

August 11, 2009 - June 24, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HOUSTON, TX

Past

July 14, 2009 - June 24, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

HOUSTON, TX

Past

August 6, 2007 - February 26, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 6, 2006 - December 31, 2006

BRIGHTON PRESIDIO CAPITAL MANAGEMENT

RIA

CRD#: 131402

HOUSTON, TX

Past

August 13, 2004 - September 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

August 13, 2004 - September 27, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 13, 2004 - September 27, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 22, 2002 - February 27, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 22, 2002 - February 27, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 7, 2000 - June 19, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 7, 2000 - June 19, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/14/2024)

Arkansas
(3/10/2025)

Colorado
(11/14/2024)

Florida
(11/15/2024)

Georgia
(11/14/2024)

Massachusetts
(7/9/2025)

New York
(11/14/2024)

Ohio
(11/14/2024)

Oklahoma
(11/14/2024)

Tennessee
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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

Paul A. Dickens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Dickens's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Paul Anthony Dickens's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

SOVEREIGN WEALTH ADVISORS LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BRIGHTON PRESIDIO CAPITAL MANAGEMENT

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 4/5/2000

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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