CD
Christopher F. Dieckow
LEELYN SMITH
Geneva, IL 60134
Some features on this profile are disabled
CRD#: 5692746
CD
Professional summary
Christopher F Dieckow is a registered financial advisor currently at LEELYN SMITH, LLC located in Geneva, Illinois and LPL FINANCIAL LLC located in Geneva, Illinois.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Christopher has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)04/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - LEELYN SMITH - INVESTMENT RELATED - GENEVA, IL 60134 2)4/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - THE RETIREMENT NETWORK, LTD - INVESTMENT RELATED - GENEVA, IL 60134 3)04/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - THE RETIREMENT NETWORK - INVESTMENT RELATED - GENEVA, IL 60134 4) 5/6/2021 - Leelyn Smith, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 05/03/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Leelyn Smith, LLC, an independent investment advisor firm. I started this business activity in 05/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 5/6/2021 - Leelyn Smith, LLC - DBA: (Hybrid) THE RETIREMENT NETWORK LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 05/03/2021 - 160 Hours Per Month During Securities Trading. 6) 10/29/2021 - Dieckow Family Properties - Investment Related - Saugatuck, MI, 49453 - Real Estate Rental - Start Date: 07/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading 7) 05/22/2023 - Emergent Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2023 -
CRS (Client Relationship Summary) - RIA
Click below to view Christopher F Dieckow'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
May 5, 2021 - Present
LEELYN SMITH, LLC
Office #1: 10 N. Third Street, Geneva, IL 60134RIA
CRD#: 110517
Geneva, IL
Current
April 30, 2021 - Present
LPL FINANCIAL LLC
Office #1: 10 N. Third Street, Geneva, IL 60134RIA
BD
CRD#: 6413
Geneva, IL
Past
December 2, 2014 - May 12, 2021
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
LONE TREE, CO
Past
October 22, 2009 - May 12, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Chicago, IL
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".
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(4/30/2021)
IAR
Illinois(5/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 N. Third Street, Geneva, IL 60134
Mailing Address
Phone number
(630) 232-8995
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,539 |
| AUM (Assets Under Management) | $ 722,181,779 |
Red Flags
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