HF
Holly P. Fulton
CAPITAL CITIES INVESTMENTS
MIDDLEBURY, VT 05753
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CRD#: 5124090
HF
Professional summary
Holly Pearsall Dickson Fulton, who also goes by Holly Pearsall Dickson, Holly Dickson Ferguson, Holly Dickson Fulton, is a registered financial advisor currently at CAPITAL CITIES INVESTMENTS located in Middlebury, Vermont.
Holly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Holly has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Holly Pearsall Dickson | Holly Dickson Ferguson | Holly Dickson Fulton
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.COMMUNITY INVESTMENT COUNSELORS; INVESTMENT RELATED 63 MAPLE ST Suite 25 MIDDLEBURG VT 05753; CIC is a close corporation of which the applicant is a co-owner, secretary and associate since 2009. 2. Airbnb business: 2017-present (but inactive), not investment related, rented efficient apartment over garage (connected to home) 18A Brookside Drive, Middlebury, VT 05753 3. Rental of efficiency apartment over garage (connected to home) 2010-present, not investment related, 18A Brookside Drive, Middlebury, VT 05753 4, Member Board of Directors for Middlebury Area Community Gardn, Middlebury, VT. Non Investment Related. Less than 1% of time 5. Board member, Middlebury Area Land Trust, Middlebury VT. Non-Investment related. Less than 1% of time.
CRS (Client Relationship Summary) - RIA
Click below to view Holly Pearsall Dickson Fulton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 19, 2006 - Present
CAPITAL CITIES INVESTMENTS
Office #1: 63 Maple Street Suite 25, Middlebury, VT 05753RIA
CRD#: 116185
MIDDLEBURY, VT
Past
May 26, 2006 - December 31, 2015
TRIAD ADVISORS LLC
BD
CRD#: 25803
MIDDLEBURY, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(11/28/2018)
IAR
Louisiana(6/10/2015)
IAR
Texas(6/16/2015)
IAR
Vermont(11/2/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
426 East New York Street, Indianapolis, IN 46202
Mailing Address
Phone number
(317) 475-4500
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,319 |
| AUM (Assets Under Management) | $ 251,443,578 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPITAL CITIES INVESTMENTS
CRD#: 116185Middlebury, VT 05753TRUST BUT VERIFY
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