Dennis Paul Dixon

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2012-04-03
TX	RA	APPROVED	2009-10-27

LA RA
APPROVED

Since 2012-04-03
TX RA
APPROVED

Since 2009-10-27

Branch Locations

Baton Rouge, LA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Baton Rouge	LA	10/2009	Present

10/2009 → Present

Lpl Financial Llc

Baton Rouge, LA

Previous Registrations

2006-01-10 → 2009-11-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Plano, TX

Frisco, TX

Other Businesses

1. 5/3/2016: Dixon Diversified Income Strategies, LLC - DBA: Dixon Diversified Income Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/29/2016 - 160 Hours Per Month During Securities Trading. 2. 7/20/2020 - Seniors Advisory Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Broker - Start Date: 8/3/2020 - 8 Hours Per Month/2 Hours During Securities Trading - Sell Medicare Advantage policies.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-09
S63	Uniform Securities Agent State Law Examination	2001-07-05

S65 Uniform Investment Adviser Law Examination

2006-01-09
S63 Uniform Securities Agent State Law Examination

2001-07-05

View on SEC IAPD