Kevin DickCRD Number: 1413097
Current Firm: Sterne Agee Investment Advisor Services, Inc.
Kevin Dick (CRD# 1413097) is an Investment Advisor Representative working at Sterne Agee Investment Advisor Services, Inc. in Birmingham, AL and has over 16 years of experience in the finance industry.
Hightower Advisors, LLC
Wesban Financial Consultants, P.c.
Raymond James & Associates, Inc.
|Sterne Agee Investment Advisor Services, Inc.||Birmingham, AL||Jan 2015 - Current||2|
|Sterne Agee Financial Services, Inc.||Tiffin, OH||Sep 2014 - Current||3|
|Wrp Investments, Inc.||Youngstown, OH||Mar 2001 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management845MILLIONS
Total Number of Accounts5,829ACCOUNTS
Average Account Value$144,938
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV