David S. Dixon
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 S Dixon, who also goes by David Steven Dixon, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
March 17, 2009 - November 20, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 17, 2009 - August 18, 2021
MUTUAL OF AMERICA SECURITIES LLC
June 21, 2005 - November 11, 2008
VALIC FINANCIAL ADVISORS, INC.
April 14, 2005 - November 11, 2008
VALIC FINANCIAL ADVISORS, INC.
February 14, 2005 - March 24, 2005
FORESTERS EQUITY SERVICES, INC.
January 3, 2001 - September 26, 2002
MISSIONSQUARE INVESTMENT SERVICES
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
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
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
Disclosures
| Regulatory Event | 2 |
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.
