David J. Dixon

BRADLEY FOSTER & SARGENT

Hartford, CT 06103

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CRD#: 4065575

Professional summary

David Jack Dixon JR, who also goes by David Jack Dixon, is a registered financial advisor currently at BRADLEY FOSTER & SARGENT INC located in Hartford, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Jack Dixon

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 Jack Dixon JR'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

September 25, 2024 - Present

BRADLEY FOSTER & SARGENT INC

Office #1: 185 Asylum Ave 11th Floor, Hartford, CT 06103

RIA

CRD#: 106928

Hartford, CT

Past

April 5, 2018 - December 31, 2022

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

Hartford, CT

Past

August 8, 2013 - February 3, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

STAMFORD, CT

Past

July 23, 2013 - February 3, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

STAMFORD, CT

Past

February 13, 2007 - October 5, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

HARTFORD, CT

Past

July 31, 2003 - February 13, 2007

WEBSTER INVESTMENT SERVICES, INC.

CRD#: 46588

WATERBURY, CT

Past

December 22, 1999 - September 6, 2001

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

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".

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

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

California
(9/25/2024)

IAR

Connecticut
(9/25/2024)

IAR

Florida
(10/21/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 12/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Current Firm

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

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Contact information

Main Address

185 Asylum Street City Place Ii 11th Floor, Hartford, CT, 06103-3402

Mailing Address

Phone number

(860) 527-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADLEY, FOSTER & SARGENT (2/25/2026)

Regulatory assets under management

Total Number of Accounts	4,971
AUM (Assets Under Management)	$ 9,072,939,203

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2026	Cover Page	Report
11/22/2024	Cover Page	Report
02/02/2024	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

David J. Dixon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jack Dixon JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEOPLE'S UNITED ADVISORS, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

UVEST FINANCIAL SERVICES GROUP, INC.

WEBSTER INVESTMENT SERVICES, INC.

FIS SECURITIES, INC.

Primary Firm SEC Registration

BRADLEY FOSTER & SARGENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1999

Series 7

Date: 12/21/1999

Current Firm

BRADLEY FOSTER & SARGENT INC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRADLEY FOSTER & SARGENT INC

TRUST BUT VERIFY

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