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Detailed Report
CHAD E DIXON
CHAD EVERETT DIXON
CRD#: 4024301
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 522 STATE RD 13
ST. JOHNS, FL 32259
CETERA INVESTMENT SERVICES LLCCRD#: 15340 522 STATE RD 13
ST. JOHNS, FL 32259
Registration History
19952000200520102015202020252 FIRMS2013 - 2021 (8 years)2 FIRMS2021 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2011 - 2013 (2 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - 2003 (3 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2012 - 2013 (<1 year)
Disclosure(s)
View By:
9/5/1994
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 9/19/2024
B
Georgia 9/19/2024
B
Florida 9/19/2024
B
South Carolina 9/26/2024
IA
Florida 9/20/2024

SRO Registrations

B
 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)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
522 STATE RD 13, ST. JOHNS, FL 32259
Registered with this firm since 9/20/2024
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
522 STATE RD 13, ST. JOHNS, FL 32259
Registered with this firm since 9/18/2024
Previous Registration(s)
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IA
 08/16/2021 - 09/11/2024 ASSET ALLOCATION STRATEGIES, LLC (CRD#:152339) PONTE VEDRA, FL
B
 08/05/2021 - 09/11/2024 GLP INVESTMENT SERVICES, LLC (CRD#:25450) PONTE VEDRA, FL
IA
 07/26/2013 - 08/04/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 07/26/2013 - 08/04/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
IA
 12/21/2012 - 07/10/2013 STRATEGIC ADVISERS, INC. (CRD#:104555) JACKSONVILLE, FL
B
 07/28/2011 - 07/09/2013 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) JACKSONVILLE, FL
B
 12/23/1999 - 05/05/2003 PARK AVENUE SECURITIES LLC (CRD#:46173) 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.
IA
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.