DK
Dixie Kendrick
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
Some features on this profile are disabled
CRD#: 6070127
DK
Professional summary
Dixie Kendrick, who also goes by Dixie Marie Kendrick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Des Moines, Washington.
Dixie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Dixie has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dixie Marie Kendrick
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) DTS in Des Moines LLC 22307 Marine View Dr S Des Moines WA 98198 Real Estate Owner/Sole Proprietor 4/1/2017 2hrs~0hrs Landlord 2) Dixie's Tax & Financial Services 3102 SW 172nd ST Burien WA 98166 Tax Preparation/Accounting Owner/Sole Proprietor 1/1/2013 160hrs~120hrs Provide income tax and financial services to individuals and small businesses 3) COASTAL BREEZE LLC POSITION: Member NATURE: Rental Property Owner INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 22307 Marine View Dr S, Ste 101, Des Moines WA 98198, United States DESCRIPTION: Manage 4) JACK SCHROEDER AND ASSOCIATES LLC POSITION: Medicare Insurance Sales NATURE: Assist clients who are on Medicare with health insurance choice. Once insurance plan is chosen sign client up for plan. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 10/15/2021 ADDRESS: 22307 Marine View Dr S, Ste 101, Des Moines WA 98198, United States DESCRIPTION: Meet with client they discuss their Medical needs. I go over plans that are appropriate for them. Go over doctors and prescriptions and cost. They choose plan and I sign them up if they decide to change. 5) DMM SENIOR INSURANCE LLC POSITION: 33% Member NATURE: Providing Medicare Supplemental and Medicare Advantage Plans. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 10/15/2023 ADDRESS: 22307 Marine View Dr S, Ste 101, Des Moines WA 98198, United States DESCRIPTION: Explain Medicare Part A & B Explain Supplemental and Advantage Plans Present Insurance Options and Advise Prepare enrollment Paperwork and submit Follow up annually with Client 6) SELLING FIXED AND EQUITY INDEX ANNUITIES POSITION: Agent NATURE: Selling Fixed and Equity Index Annuities INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 5 START DATE: 10/23/2023 ADDRESS: 22307 Marine View Dr S, Ste 101, Des Moines WA 98198, United States DESCRIPTION: Researching Fixed and Equity Index Annuities Suitability for Clients Meeting with Clients explaining product Filing Paperwork to open account Filing Paperwork to enroll client Meeting with Client to present policy
CRS (Client Relationship Summary) - RIA
Click below to view Dixie Kendrick'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 22307 Marine View Dr S Ste 101, Des Moines, WA 98198BD
CRD#: 13572
Des Moines, WA
Past
February 13, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Des Moines, WA
Past
September 24, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Des Moines, WA
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
Connecticut(9/5/2025)
RR
Idaho(9/5/2025)
RR
Kentucky(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Oregon(9/5/2025)
RR
Washington(9/5/2025)
IAR
Washington(9/5/2025)
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
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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.
