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PAUL HAROLD DICKMAN
PAUL DICKMAN
CRD#: 6032385
IA
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CETERA INVESTMENT ADVISERS LLCCRD#: 105644 85 E 7TH PLACE STE 275
ST PAUL, MN 55101
ST PAUL, MN 55101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 85 E 7TH PLACE STE 275
ST PAUL, MN 55101
ST PAUL, MN 55101
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Disclosures
12
Years of Experience
View By:
State Registrations
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Arizona 8/23/2022
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Minnesota 6/29/2023
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California 8/23/2022
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Montana 8/4/2023
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Colorado 2/9/2024
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North Dakota 8/23/2022
B
Florida 8/23/2022
B
Oregon 4/18/2023
B
Georgia 1/8/2024
B
South Carolina 4/18/2023
B
Iowa 8/23/2022
B
South Dakota 8/23/2022
B
Kansas 6/22/2023
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Texas 8/23/2022
B
Maryland 2/23/2024
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Texas 6/29/2023
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Minnesota 8/23/2022
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Wisconsin 8/23/2022
SRO Registrations
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IA
Registered with this firm since 6/29/2023
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Registered with this firm since 8/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2022 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 12/07/2016 - 09/09/2022 | EDINA, MN | |
B | 12/07/2016 - 09/09/2022 | EDINA, MN | |
IA | 03/23/2016 - 12/08/2016 | EDINA, MN | |
B | 09/18/2012 - 12/08/2016 | EDINA, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.