Robert Alan Dicks

Current Employers

Employment History

• 04/1997 → 09/2016
  Wall Street Financial Group, Inc.
  Fairport, NY
• 01/2001 → Present
  Robert A Dicks, Jr Inc
  New York Mills, NY
• 09/2016 → 06/2024
  Securities America, Inc.
  New York Mills, NY
• 09/2016 → 06/2024
  Securities America Advisors, Inc.
  New York Mills, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  New York Mills, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  New York Mills, NY

Previous Registrations

• 2016-09-23 → 2024-06-14
  Securities America Advisors, Inc.
  New York Mills, NY
• 2007-01-03 → 2016-09-23
  Wall Street Financial Group, Inc.
  New York Mills, NY
  New York Mills, NY
  Victor, NY

Other Businesses

1. TRICITY LACROSSE INC POSITION: Treasurer-organizer-volunteer NATURE: TriCity Lacrosse Inc. (Treasurer)Non-Profit Organization - 501c(3) Helping to teach kids sportsmanship through the game of Lacrossein the Central NY area. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: 6600 Bartlett Rd, Rome NY 13440 DESCRIPTION: responsible for paying bills and preparing financial data for 990's Help run youth lacrosse programs for Boys & Girls age 4-18 2. ED VENTURES LLC DBA AQUAVINO RESTAURANT & CATERING POSITION: wife has ownership-no role NATURE: ED Ventures LLC dba AquaVino Restaurant & Catering This is a restaurant that my wife has ownership in. She is a partner with 1 other member in ED Ventures LLC and they have 1 business under the dba Aquavino Restaurant & Catering. Business started in 2007 INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2007 ADDRESS: 8655 Clinton St, New Hartford NY 13413 DESCRIPTION: My wife is a partner in ED Ventures LLC and they have a restaurant under the LLC called aquavino restaurant and catering. We have no day-to-day involvement in the business. 3. 130 HOLLYWOOD RD LLC POSITION: administrative NATURE: Real Estate (camp that will be rented out at times during the year) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 130 Hollywood Rd LLC, Old Forge NY 13420, United States DESCRIPTION: Purchased a camp and will have personal use as well as Rental Income in the future. 4. ROBERT A. DICKS, JR., INC. POSITION: President / Owner NATURE: P & C Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 02/01/1992 ADDRESS: 587 Main Street, Suite 107, New York Mills NY 13417, United States DESCRIPTION: Insurance Agency selling Property & Casualty Insurance

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-17
• S63 Uniform Securities Agent State Law Examination
  1987-05-26

Designations

Other Names

• Bob Dicks