Michael 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.
Michael Stephen Dixon was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 2 firms and has passed the Series 63 and Series 65 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2013 - April 11, 2019
YORKTOWN MANAGEMENT AND RESEARCH CO INC
June 13, 2007 - February 17, 2012
FLIPPIN BRUCE & PORTER INC
Primary Firm SEC Registration
YORKTOWN MANAGEMENT AND RESEARCH CO INC
CRD#: 105083 / SEC#: 801-23441
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
YORKTOWN MANAGEMENT AND RESEARCH CO INC
CRD#: 105083 / SEC#: 801-23441
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 692,421,793 |
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.
