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William L. Dickey

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CRD#: 2926185
WD

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.

William Lee Dickey, who also goes by Bill Dickey, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1997. William had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Dickey

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)

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

August 20, 2010 - September 25, 2012

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
AMARILLO, TX
Past

August 20, 2010 - September 25, 2012

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
AMARILLO, TX
Past

April 17, 2007 - January 22, 2010

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
AMARILLO, TX
Past

March 23, 2007 - January 22, 2010

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
AMARILLO, TX
Past

December 19, 2005 - March 12, 2007

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
AMARILLO, TX
Past

November 23, 2005 - March 12, 2007

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
AMARILLO, TX
Past

July 8, 1998 - January 14, 2003

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
CENTENNIAL, CO
Past

August 14, 1997 - July 15, 1998

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO

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
RR
IAR
Series 66
Date: 12/17/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/13/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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