ED
Eric A. Dicken
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CRD#: 5194178
ED
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.
Eric Andrew Dicken, who also goes by Eric A Dicken, Eric Dicken, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2006. Eric had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Eric A Dicken | Eric Dicken
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.
PRINCIPAL FINANCIAL POSITION: Agent NATURE: Disability Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2018 ADDRESS: PO Box 9394, Des Moines IA 50306, United States DESCRIPTION: Receive compensation for previous policies. May service existing policies but do not solicit new business. EAST CAROLINA UNIVERSITY POSITION: Instructor NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2013 ADDRESS: West 5th Street, Greenville NC 27858, United States DESCRIPTION: I teach online and in person finance classes at ECU College of Business. HERITAGE PROPERTIES OF GREENVILLE, LLC POSITION: LLC Member NATURE: Owns two rental houses INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/01/2016 ADDRESS: 3709 Tucker Drive, Greenville NC 27858, United States DESCRIPTION: I help manage the property, keep receipts, and bookkeeping JAMES MICHAEL NEWMAN POSITION: Non-selling sales assistant to James Newman NATURE: Client Relations/Service INVESTMENT RELATED: Yes NUMBER OF HOURS: 85 SECURITIES TRADING HOURS: 45 START DATE: 03/01/2018 ADDRESS: 1350 E Arlington Blvd, Suite A, Greenville NC 27858, United States DESCRIPTION: I speak with James Newman's clients over the phone and email. I help with paperwork for new accounts and transfers.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
February 15, 2018 - June 5, 2024
LINCOLN INVESTMENT
RIA
CRD#: 519
GREENVILLE, NC
Past
February 15, 2018 - June 5, 2024
CAPITAL ANALYSTS
RIA
CRD#: 162200
Greenville, NC
Past
February 15, 2018 - June 5, 2024
LINCOLN INVESTMENT
BD
CRD#: 519
GREENVILLE, NC
Past
May 10, 2013 - April 14, 2016
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
KINSTON, NC
Past
April 30, 2013 - April 14, 2016
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
KINSTON, NC
Past
May 10, 2010 - April 8, 2013
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
WILLIAMSTON, NC
Past
January 6, 2010 - April 8, 2013
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
WILLIAMSTON, NC
Past
January 14, 2009 - February 25, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WINTERVILLE, NC
Past
December 7, 2006 - October 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENVILLE, NC
Past
November 2, 2006 - October 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENVILLE, NC
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".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
