Steven Lee Dick

Current Employers

Employment History

• 06/2010 → Present
  Sapiat Financial Group, Inc.
  Greeneville, TN
• 12/2015 → Present
  Sapiat Asset Management, Llc
  Greeneville, TN
• 07/2020 → Present
  1796 Investment Management & Consulting
  Greeneville, TN
• 09/2016 → Present
  Sapiat Real Estate, Inc.
  Greeneville, TN

Previous Registrations

• 2020-11-09 → 2021-12-17
  1796 Investment Management & Consulting
  Greeneville, TN
• 2010-07-30 → 2016-06-08
  Raymond James Financial Services Advisors, Inc
  Greenville, TN
• 2007-01-22 → 2010-08-03
  Edward Jones
  Greeneville, TN

Other Businesses

Mr. Steven L. Dick is the Chairman and Chief Executive Officer of Sapiat Financial Group, Inc., which serves as the holding company for Sapiat Asset Management, LLC and Sapiat Real Estate, Inc. Mr. Dick is the President of Sapiat Real Estate, Inc. and Sapiat Asset Management, LLC. Mr. Dick's roles with the aforementioned firms do not create a conflict of interest with the advisory services he offers through 1796 Investment Management & Consulting. Clients of Sapiat Asset Management, LLC are retail clients including, but not limited to, individuals, high net worth individuals, families, trusts, estates, and the businesses controlled by said individuals, families, trusts, and estates. Whereas clients of 1796 Investment Management & Consulting are solely federal, state, or municipal government entities or government sponsored enterprises. Mr. Dick's role at 1796 Investment Management & Consulting are separate and distinct from his roles and duties at Sapiat Financial Group, Inc., Sapiat Asset Management, LLC and Sapiat Real Estate, Inc. 1796 Investment Management & Consulting, Inc.; Chairman, President, CCO, & IAR; investment related: Yes; 705 Professional Plaza Drive, Suite 2, Greeneville, TN 37745; 1796 Investment Management & Consulting, Inc. is an independent registered investment advisor serving institutional customers with a focus on federal, state, & municipal government entities.; 2020-07-01; Hours devoted to business during trading hours: 10; Hours devoted to business outside trading hours: 30; Percentage of total yearly compensation expected to be derived from the business: 50;

Exams

• S66 Uniform Combined State Law Examination
  2007-01-12
• S63 Uniform Securities Agent State Law Examination
  2003-12-11

Designations