Charles A. Dice
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.
Charles Alan Dice was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 4 firms and has passed the Series 66 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
January 9, 2013 - December 31, 2019
FINANCIAL AFFAIRS LLC
February 20, 2008 - December 31, 2012
CETERA WEALTH SERVICES, LLC
February 19, 2008 - December 31, 2012
CETERA WEALTH SERVICES, LLC
May 10, 2005 - February 8, 2008
ASSOCIATED SECURITIES CORP.
February 14, 2003 - February 8, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
October 15, 2001 - February 8, 2008
ASSOCIATED SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL AFFAIRS LLC
CRD#: 166346 / SEC#:
Contact information
Red Flags
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