John Tufts Dippel

Current Employers

Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2024-06-17

NE RA
APPROVED

Since 2024-06-17

Branch Locations

Elkhorn, NE • United States

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Tdameritrade Inc	Omaha	NE	02/2010	12/2023
Charles Schwab & Co., Inc.	Omaha	NE	07/2021	05/2024
Allworth Financial	Houston	TX	06/2024	Present
Aw Securities	Houston	TX	06/2024	Present

02/2010 → 12/2023

Tdameritrade Inc

Omaha, NE
07/2021 → 05/2024

Charles Schwab & Co., Inc.

Omaha, NE
06/2024 → Present

Allworth Financial

Houston, TX
06/2024 → Present

Aw Securities

Houston, TX

Previous Registrations

2021-07-29 → 2024-05-25

Charles Schwab & Co., Inc.

Omaha, NE

San Francisco, CA

Omaha, NE

Westlake, TX
2010-02-24 → 2022-10-14

Td Ameritrade, Inc.

Omaha, NE

Omaha, NE

Northbrook, IL

Westlake, TX
2010-02-24 → 2012-02-16

Td Ameritrade Investment Management, Llc

Northbrook, IL
2004-01-02 → 2010-02-10

Charles Schwab & Co., Inc.

Northbrook, IL

West Des Moines, IA

Cedar Rapids, IA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-12-22
S65	Uniform Investment Adviser Law Examination	1997-03-18
S63	Uniform Securities Agent State Law Examination	1996-12-03

S66 Uniform Combined State Law Examination

2003-12-22
S65 Uniform Investment Adviser Law Examination

1997-03-18
S63 Uniform Securities Agent State Law Examination

1996-12-03

Other Names

J Tufts Dippel
John Tufts Dippel
John T Dippel
John Dippel
John T Dippel

View on SEC IAPD