Robert M. Dick
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.
Robert Murray Dick III, who also goes by Rob Dick, Robert M Dick III, Robert M Dick, Robert Murray Dick, Robert Dick, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2010. Robert had worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2024 - September 18, 2025
LPL FINANCIAL LLC
March 26, 2024 - September 18, 2025
LPL FINANCIAL LLC
September 7, 2021 - June 14, 2022
MORGAN STANLEY
September 6, 2021 - June 14, 2022
MORGAN STANLEY
October 29, 2019 - July 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 18, 2018 - July 20, 2021
TD AMERITRADE, INC.
May 31, 2018 - November 20, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 14, 2018 - July 20, 2021
TD AMERITRADE, INC.
August 14, 2014 - October 5, 2017
LPL FINANCIAL LLC
August 14, 2014 - October 5, 2017
LPL FINANCIAL LLC
August 23, 2013 - August 4, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
August 23, 2013 - August 4, 2014
ALLSTATE FINANCIAL SERVICES, LLC
January 8, 2013 - March 28, 2013
LPL FINANCIAL LLC
January 8, 2013 - March 28, 2013
LPL FINANCIAL LLC
November 30, 2010 - August 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 10, 2010 - August 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 3/26/2024
Operations Professional ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
