Dickson K. Lo
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.
Dickson Kai Chi Lo, CFP®, who also goes by Dickson Kai Chi Lo, K.c. Lo, Kai Chi Dickson Lo, was a registered financial professional .
Dickson is a previously registered financial professional and started their career in finance in 2001. Dickson had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2018 - March 24, 2023
TDIRECTION ASSET MANAGEMENT
October 24, 2012 - October 19, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
September 4, 2012 - October 19, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
May 3, 2011 - January 13, 2012
INDEPENDENT FINANCIAL GROUP, LLC
April 29, 2011 - January 13, 2012
INDEPENDENT FINANCIAL GROUP, LLC
June 23, 2008 - April 20, 2011
CETERA INVESTMENT SERVICES LLC
June 23, 2008 - April 20, 2011
CETERA INVESTMENT SERVICES LLC
March 13, 2006 - April 17, 2007
CHARLES SCHWAB & CO., INC.
January 23, 2001 - April 17, 2007
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
TDIRECTION ASSET MANAGEMENT
CRD#: 285730 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 16,000,000 |
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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