PD
Paul H. Dickman
CETERA INVESTMENT ADVISERS LLC
ST PAUL, MN 55101
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CRD#: 6032385
PD
Professional summary
Paul Harold Dickman, who also goes by Paul Dickman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in St Paul, Minnesota.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Dickman
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 08/2022 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: CAPITAL STREET FINANCIAL SERVICES, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2022 POSITION/TITLE/RELATIONSHIP: SENIOR WEALTH ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, ADVISORY, ANNUITY, INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view Paul Harold Dickman'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 85 E 7th Place Ste 275, St Paul, MN 55101RIA
CRD#: 105644
ST PAUL, MN
Current
August 23, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 85 E 7th Place Ste 275, St Paul, MN 55101BD
CRD#: 13572
St Paul, MN
Past
August 23, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 7, 2016 - September 9, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
EDINA, MN
Past
December 7, 2016 - September 9, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
EDINA, MN
Past
March 23, 2016 - December 8, 2016
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
EDINA, MN
Past
September 18, 2012 - December 8, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDINA, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(8/23/2022)
RR
California(8/23/2022)
RR
Colorado(2/9/2024)
RR
Florida(8/23/2022)
RR
Georgia(1/8/2024)
RR
Iowa(8/23/2022)
RR
Kansas(6/22/2023)
RR
Maryland(2/23/2024)
RR
Minnesota(8/23/2022)
IAR
Minnesota(6/29/2023)
RR
Montana(8/4/2023)
RR
North Dakota(8/23/2022)
RR
Oregon(4/18/2023)
RR
South Carolina(4/18/2023)
RR
South Dakota(8/23/2022)
RR
Texas(8/23/2022)
IAR
Texas(6/29/2023)
RR
Wisconsin(8/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Paul, MN 55101TRUST BUT VERIFY
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