MD
MD
Mark Dickman
32 Years of Experience
Crescent Springs, KY
2 DisclosuresBrokerSells Insurance
Mark Dickman is a registered investment advisor, based in Crescent Springs, KY, with 32 years of industry experience.
Location
632 Buttermilk Pike, Crescent Springs, KY, 41017
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2018Customer Dispute
May 2016Settled
Other Business ActivitiesSells Insurance
Mark owns rental real estate properties and dedicates minimal time to them. He is also a fixed insurance agent selling life insurance, fixed/indexed annuities, LTC, and DII through various carriers, spending a few hours per week on this activity.
Employment History
Current Registrations
Ifp Securities, LLCBroker
October 2019 - Present · 6 yrs 7 mos
Independent Financial Partners
March 2019 - Present · 7 yrs 2 mos
Previous Registrations
Independent Advisor Alliance, LLC
December 2018 - December 2018 · 0 mos
Independent Financial Partners
October 2018 - December 2018 · 2 mos
Independent Financial Partners
March 2011 - October 2018 · 7 yrs 7 mos
LPL Financial LLCBroker
August 2010 - December 2018 · 8 yrs 4 mos
LPL Financial LLC
August 2010 - May 2011 · 9 mos
U.S. Bancorp Investments, INC.
May 2006 - August 2010 · 4 yrs 3 mos
U.S. Bancorp Investments, INC.Broker
December 2001 - August 2010 · 8 yrs 8 mos
Firstar Investment Services,inc.Broker
May 2000 - December 2001 · 1 yr 7 mos
Conseco Securities, INC.Broker
February 1999 - May 2000 · 1 yr 3 mos
Ascend Financial Services, INC.Broker
August 1997 - January 1999 · 1 yr 5 mos
Hornor, Townsend & Kent, INC.Broker
August 1995 - August 1997 · 2 yrs
Metlife Securities INC.Broker
May 1992 - December 1994 · 2 yrs 7 mos
Metropolitan Life Insurance CompanyBroker
May 1992 - December 1994 · 2 yrs 7 mos
State Registrations2 states
KYOH
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.