Jonathan R. Dickerson
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.
Jonathan Russell Dickerson, who also goes by Russ Dickerson, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2008. Jonathan had worked at 5 firms and has passed the Series 66, Series 7TO, SIE 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 22, 2016 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 22, 2016 - December 31, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 6, 2011 - March 29, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 6, 2011 - March 29, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 2, 2009 - February 14, 2011
CHASE INVESTMENT SERVICES CORP.
November 20, 2009 - February 14, 2011
CHASE INVESTMENT SERVICES CORP.
July 11, 2008 - July 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 23, 2008 - July 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 3/16/2024
General Securities Representative ExaminationCurrent 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.
