Alan J. Dick
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.
Alan John Dick was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1997. Alan had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2008 - January 11, 2022
MULTNOMAH GROUP, INC.
February 13, 2002 - May 2, 2003
INVESMART SECURITIES, LLC
July 2, 1998 - November 30, 2000
MCG EQUITIES, LLC
November 25, 1997 - July 2, 1998
SSSH EQUITIES, INC.
Primary Firm SEC Registration
MULTNOMAH GROUP, INC.
CRD#: 132131 / SEC#: 801-64554
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MULTNOMAH GROUP, INC.
CRD#: 132131 / SEC#: 801-64554
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 361 |
| AUM (Assets Under Management) | $ 2,219,580,596 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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