MD
Michael G. Dickerson
CAPITAL MARKETS IQ
New Orleans, LA
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CRD#: 67338
MD
Professional summary
Michael Gregory Dickerson is a registered financial advisor currently at CAPITAL MARKETS IQ, LLC located in New Orleans, Louisiana.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 7, PC, Series 1 and Series 40 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.
Owner of Michael G Dickerson, LLC, which has not commenced operations.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gregory Dickerson'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
July 21, 2017 - Present
CAPITAL MARKETS IQ, LLC
RIA
CRD#: 134921
New Orleans, LA
Past
August 5, 2016 - May 1, 2017
CARLTON HALL ASSET MANAGEMENT, LLC
RIA
CRD#: 136957
Durham, NC
Past
April 23, 2012 - June 8, 2012
MIDDLEBURY SECURITIES LLC
BD
CRD#: 122602
WEYBRIDGE, VT
Past
February 15, 2012 - December 31, 2016
HACKETT & COMPANY, INC.
RIA
CRD#: 2107
DURHAM, NC
Past
March 9, 2010 - February 21, 2012
WELLINGTON SHIELDS & CO., LLC
RIA
CRD#: 149021
NEW YORK, NY
Past
November 6, 2009 - February 21, 2012
WELLINGTON SHIELDS & CO., LLC
BD
CRD#: 149021
NEW YORK, NY
Past
July 31, 2003 - December 31, 2010
H. G. WELLINGTON & CO., INC.
RIA
CRD#: 7536
NEW YORK, NY
Past
July 10, 2002 - December 9, 2009
H. G. WELLINGTON & CO., INC.
BD
CRD#: 7536
NEW YORK, NY
Past
February 7, 1995 - November 7, 1995
GS2 SECURITIES, INC.
BD
CRD#: 14745
MILWAUKEE, WI
Past
May 19, 1978 - September 3, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
June 11, 1970 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
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".
CM
CAPITAL MARKETS IQ, LLC
0X PRIVATE WEALTH | WEISE CAPITAL ADVISERS | VERACITY FINANCIAL SERVICES | VERACITY ADVISORS | THE SKYHAWK ETF STRATEGY | TANDEM FINANCIAL | SURETY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS | SEAGATE GLOBAL WEALTH MANAGEMENT | SAGE CAPITAL ADVISORS | RETIRE ORLANDO | PENG FINANCIAL GROUP | NOBLESTONE CAPITAL ADVISORS | MONAMIE WEALTH & RETIREMENT | LONGHORN WEALTH MANAGEMENT, LLC | LONGHORN CAPITAL MANAGEMENT, LLC | LONGHORN CAPITAL ADVISORS | KUZMA FINANCIAL SERVICES | KOI STRATEGIES | KING HARBOR WEALTH MANAGEMENT | IQINVEST | INTRALINE ASSET MANAGEMENT | FIRST SECURITY INVESTMENTS ADVISORS | EXECUTIVE SERVICES | DYNAMIC RETIREMENT SOLUTIONS | DRAWBRIDGE WEALTH | CAPITAL MARKETS IQ, LLC | CAMBRIDGE CAPITAL WEALTH | BURROS WEALTH MANAGEMENT | BRIGHTSMITH ADVISORS | BERING FINANCIAL | ACCORD CAPITAL
CRD#: 134921 / SEC#: 801-69992
RIA
Registered Investment Advisory firm - (4/3/2009 Approved)Texas
Registered Investment Advisory firm - (4/3/2009 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.Highlighted states indicate IAR registrations
IAR
Florida(3/10/2022)
IAR
Louisiana(9/18/2020)
IAR
North Carolina(7/21/2017)
IAR
Virginia(9/11/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/15/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 6/8/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 8/8/1974
Registered Principal ExaminationCurrent Firm
CM
CAPITAL MARKETS IQ, LLC
0X PRIVATE WEALTH | WEISE CAPITAL ADVISERS | VERACITY FINANCIAL SERVICES | VERACITY ADVISORS | THE SKYHAWK ETF STRATEGY | TANDEM FINANCIAL | SURETY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS | SEAGATE GLOBAL WEALTH MANAGEMENT | SAGE CAPITAL ADVISORS | RETIRE ORLANDO | PENG FINANCIAL GROUP | NOBLESTONE CAPITAL ADVISORS | MONAMIE WEALTH & RETIREMENT | LONGHORN WEALTH MANAGEMENT, LLC | LONGHORN CAPITAL MANAGEMENT, LLC | LONGHORN CAPITAL ADVISORS | KUZMA FINANCIAL SERVICES | KOI STRATEGIES | KING HARBOR WEALTH MANAGEMENT | IQINVEST | INTRALINE ASSET MANAGEMENT | FIRST SECURITY INVESTMENTS ADVISORS | EXECUTIVE SERVICES | DYNAMIC RETIREMENT SOLUTIONS | DRAWBRIDGE WEALTH | CAPITAL MARKETS IQ, LLC | CAMBRIDGE CAPITAL WEALTH | BURROS WEALTH MANAGEMENT | BRIGHTSMITH ADVISORS | BERING FINANCIAL | ACCORD CAPITAL
CRD#: 134921 / SEC#: 801-69992
RIA
Registered Investment Advisory firm - (4/3/2009 Approved)Texas
Registered Investment Advisory firm - (4/3/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Arlington, TX
Mailing Address
2810 N Church St Pmb 52811, Wilmington, DE 19802
Phone number
(310) 882-6380
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 827 |
| AUM (Assets Under Management) | $ 450,873,705 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/28/2025 | ||
| 08/22/2023 |
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.
