Richard J. Dineen

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CRD#: 5492621

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.

Richard John Dineen, who also goes by Dick J Dineen, Richard J Dineen, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2008. Richard had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dick J Dineen | Richard J Dineen

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.) 07/2015; Insurance Design Management; Omaha, NE; 50% owner; Financial Advisor; Sell insurance products as well as investment products; Non-variable insurance, Life, disability, LTC Investment related Business; Investment related; compensation in form of Investment and insurance commissions, plus a salary./// 2.) 02/2014; 15808 West Dodge LLC; Omaha, NE; client owned commercial real estate building; 6.2% Owner of building; investment related; receive a dividend on the building./// 3.) 07/2014 Upper Shelf Financial Services LLC; Omaha, NE; Owner of LLC used for personal business tax purposes; investment related; dividends from insurance Design Management are paid into this company./// 4.) Bailey Dineen Financial DBA Coordinated Planning; Elkhorn, NE; start 12/2022; 25% owner; investment related; salary & dividends.///

Blog Corner

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®

None

Experience

Past

March 25, 2022 - October 2, 2023

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Elkhorn, NE

Past

March 24, 2022 - October 2, 2023

VALMARK SECURITIES, INC.

CRD#: 31243

Elkhorn, NE

Past

August 28, 2020 - February 23, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

OMAHA, NE

Past

August 28, 2020 - February 23, 2022

LPL FINANCIAL LLC

CRD#: 6413

OMAHA, NE

Past

April 11, 2008 - September 1, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

OMAHA, NE

Past

March 19, 2008 - September 1, 2020

CETERA ADVISORS LLC

CRD#: 10299

OMAHA, NE

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/8/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2010

General Securities Principal Examination

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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.

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Richard J. Dineen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/18/2008

Series 24

Date: 3/8/2010

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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