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Detailed Report
MARK JAMES DICKMAN
CRD#: 2066229
IA
Investment Adviser
B
Broker
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 632 Buttermilk Pike
Crescent Springs, KY 41017
IFP SECURITIES, LLCCRD#: 297287 632 Buttermilk Pike
Crescent Springs, KY 41017
Registration History
19952000200520102015202020252 FIRMS2018 - 2018 (<1 year)2 FIRMS1992 - 1994 (2 years)2 FIRMS2019 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2010 - 2018 (8 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2001 - 2010 (8 years)BFIRSTAR INVESTMENT SERVICES,INC. (CRD# 14536)2000 - 2001 (1 year)BCONSECO SECURITIES, INC. (CRD# 29367)1999 - 2000 (1 year)BASCEND FINANCIAL SERVICES, INC. (CRD# 15296)1997 - 1999 (1 year)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)1995 - 1997 (2 years)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2011 - 2018 (7 years)IALPL FINANCIAL LLC (CRD# 6413)2010 - 2011 (<1 year)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2006 - 2010 (4 years)
Disclosure(s)
View By:
12/20/2018
Employment Separation After Allegations
12/20/2018
Employment Separation After Allegations
5/13/2016
Customer Dispute
Settled
License(s)

State Registrations

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California 3/15/2019
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Kentucky 11/18/2019
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Florida 5/8/2019
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Ohio 3/29/2019
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Kentucky 5/14/2019
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Ohio 11/1/2019

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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INDEPENDENT FINANCIAL PARTNERS (CRD#:125112)
632 Buttermilk Pike, Crescent Springs, KY 41017
Registered with this firm since 3/15/2019
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IFP SECURITIES, LLC (CRD#:297287)
632 Buttermilk Pike, Crescent Springs, KY 41017
Registered with this firm since 10/30/2019
Previous Registration(s)
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 08/03/2010 - 12/27/2018 LPL FINANCIAL LLC (CRD#:6413) CRESTVIEW HILLS, KY
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 12/10/2018 - 12/20/2018 INDEPENDENT ADVISOR ALLIANCE, LLC (CRD#:168267) Crestview Hills, KY
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 10/11/2018 - 12/07/2018 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) Crestview Hills, KY
IA
 03/01/2011 - 10/10/2018 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) CRESTVIEW HILLS, KY
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 08/03/2010 - 05/11/2011 LPL FINANCIAL LLC (CRD#:6413) CRESTVIEW HILLS, KY
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 05/31/2006 - 08/06/2010 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CARROLLTON, KY
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 12/01/2001 - 08/06/2010 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CARROLLTON, KY
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 05/31/2000 - 12/01/2001 FIRSTAR INVESTMENT SERVICES,INC. (CRD#:14536) MORRIS PLAINS, NJ
B
 02/01/1999 - 05/31/2000 CONSECO SECURITIES, INC. (CRD#:29367) CARMEL, IN
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 08/18/1997 - 01/12/1999 ASCEND FINANCIAL SERVICES, INC. (CRD#:15296) ST. PAUL, MN
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 08/24/1995 - 08/22/1997 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) CONSHOHOCKEN, PA
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 05/08/1992 - 12/09/1994 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
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 05/08/1992 - 12/09/1994 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.