Jason A. 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.
Jason Andrew Dixon, who also goes by Jason A Dixon, Jason Dixon, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2003. Jason had worked at 10 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
March 18, 2013 - August 28, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 18, 2013 - August 28, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 4, 2012 - December 21, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
October 4, 2012 - December 21, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
April 30, 2012 - September 21, 2012
EDWARD JONES
April 30, 2012 - September 21, 2012
EDWARD JONES
August 24, 2011 - April 12, 2012
USAA FINANCIAL PLANNING SERVICES
August 24, 2011 - April 12, 2012
USAA FINANCIAL ADVISORS, INC.
September 21, 2009 - June 30, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
September 21, 2009 - June 30, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
March 7, 2008 - December 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2008 - December 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2005 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
March 25, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 25, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 4, 2003 - April 2, 2004
UBS FINANCIAL SERVICES INC.
March 7, 2003 - April 2, 2004
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
