David R. 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.
David Robert Dick, CFP®, who also goes by David R Dick, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2021 - October 31, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 12, 2021 - October 28, 2022
FIDELITY BROKERAGE SERVICES LLC
December 17, 2020 - March 30, 2021
MORGAN STANLEY
December 15, 2020 - March 30, 2021
MORGAN STANLEY
August 13, 2015 - August 1, 2019
VANGUARD ADVISERS, INC.
August 12, 2015 - August 1, 2019
VANGUARD MARKETING CORPORATION
June 13, 2013 - July 10, 2015
USAA FINANCIAL PLANNING SERVICES
June 4, 2013 - July 10, 2015
USAA FINANCIAL ADVISORS, INC.
April 8, 2013 - May 1, 2013
EDELMAN FINANCIAL ENGINES
April 23, 2012 - May 30, 2012
QUEST CAPITAL STRATEGIES, INC.
April 26, 2007 - August 28, 2007
DFW & ASSOCIATES
November 17, 2000 - June 13, 2006
CHARLES SCHWAB & CO., INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
