David M. Dickman

MINDFUL WEALTH LLC

Northbrook, IL

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CRD#: 2694451

Professional summary

David Michael Dickman, who also goes by David M Dickman, is a registered financial advisor currently at MINDFUL WEALTH LLC located in Northbrook, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David M Dickman

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 Michael Dickman'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

August 2, 2018 - Present

MINDFUL WEALTH LLC

RIA

CRD#: 297493

Northbrook, IL

Past

November 7, 2017 - May 1, 2018

VIVALDI CAPITAL MANAGEMENT LP

RIA

CRD#: 160150

CHICAGO, IL

Past

October 1, 2008 - March 20, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2008 - March 20, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

November 26, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

CHICAGO, IL

Past

November 26, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

June 4, 2004 - August 29, 2007

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

CHICAGO, IL

Past

January 25, 2001 - August 29, 2007

LEHMAN BROTHERS INC.

CRD#: 7506

CHICAGO, IL

Past

January 20, 2000 - January 18, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

October 6, 1999 - January 28, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

April 23, 1999 - October 7, 1999

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

June 18, 1996 - April 28, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

MINDFUL WEALTH LLC

MINDFUL WEALTH LLC | MINDFUL WEALTH, LLC

CRD#: 297493 / SEC#: 801-127605

RIA

Registered Investment Advisory firm - (4/7/2023 Approved)

Illinois

Registered Investment Advisory firm - (12/31/2023 Terminated)

Michigan

Registered Investment Advisory firm - (4/20/2023 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

Illinois
(8/2/2018)

IAR

Louisiana
(10/21/2024)

IAR

Michigan
(9/10/2021)

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: 6/28/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/23/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/17/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/2/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MINDFUL WEALTH LLC

MINDFUL WEALTH LLC | MINDFUL WEALTH, LLC

CRD#: 297493 / SEC#: 801-127605

RIA

Registered Investment Advisory firm - (4/7/2023 Approved)

Illinois

Registered Investment Advisory firm - (12/31/2023 Terminated)

Michigan

Registered Investment Advisory firm - (4/20/2023 Terminated)

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Contact information

Main Address

5 Revere Drive Suite 200, Northbrook, IL 60062

Mailing Address

Phone number

(312) 953-9900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 MINDFUL WEALTH LLC FORM ADV PARTS 2A & 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	230
AUM (Assets Under Management)	$ 188,343,757

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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Firm Stability Insights

David M. Dickman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Dickman's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIVALDI CAPITAL MANAGEMENT LP

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

ROBERT W. BAIRD & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

MINDFUL WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/1996

Series 63

Date: 6/21/1996

SIE

Date: 3/20/2017

Series 3

Date: 12/23/1997

Series 7

Date: 6/17/1996

Series 24

Date: 11/30/1999

Series 8

Date: 7/2/1999

Current Firm

MINDFUL WEALTH LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MINDFUL WEALTH LLC

TRUST BUT VERIFY

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