Barry Raymond Dick

Current Employers

The Fiduciary Alliance

135 S Main St Suite 600, Greenville, SC 29601 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-07-07

MA RA
APPROVED

Since 2021-07-07

Branch Locations

461 Main St, Tewksbury, MA 01876 • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
First Financial Advisors, Llc	Tewksbury	MA	05/2007	03/2021
The Fiduciary Alliance	Greenville	SC	03/2021	Present

05/2007 → 03/2021

First Financial Advisors, Llc

Tewksbury, MA
03/2021 → Present

The Fiduciary Alliance

Greenville, SC

Previous Registrations

2007-05-21 → 2021-03-22

First Financial Advisors, Llc

Easley, SC

Tewksbury, MA
2007-05-17 → 2007-05-21

Workman Securities Corporation

Tewksbury, MA

Tewksbury, MA

Other Businesses

-Dick Insurance Agency. 461 Main St Tewksbury MA 01876. Co-Owner Involved in P&C and Life Sales. Sale of insurance products and day to day operations. 12/2009. 120 hours a month during trading, 40 hours a month during non-trading. -Merrimack Financial. 461 Main St Tewksbury MA 01876. Owner. Life and Annuity Sales. 02/2002. 100 hours during trading/40 hours during non-trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-04-19
S63	Uniform Securities Agent State Law Examination	1994-01-24

S65 Uniform Investment Adviser Law Examination

2007-04-19
S63 Uniform Securities Agent State Law Examination

1994-01-24

View on SEC IAPD

Current Employers

The Fiduciary Alliance

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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