DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

CARL B DICKSON JR.

Advisor at LPL FINANCIAL LLC

HENRICO, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0c83afa3-8378-beff-61b2-db342a806095

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 25, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 24, 1995
First registration: Aug 25, 1999
Dual registered: yes, broker-dealer
Other names: CARL BYRON DICKSON
IAPD individual key: 2625231

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 20, 2017	n/a	yes	HENRICO, VA	Current employment
CLARIS FINANCIAL, LLC	Independent wealth	Jan 21, 2014	Apr 19, 2017	no	GLEN ALLEN, VA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Sep 19, 2013	no	RICHMOND, VA\|RICHMOND, VA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	May 11, 2009	Oct 5, 2009	no	RICHMOND, VA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 30, 2004	May 13, 2009	no	RICHMOND, VA\|RICHMOND, VA	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Aug 25, 1999	Aug 4, 2004	no	RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CLARIS FINANCIAL, LLC	LPL FINANCIAL LLC	Apr 19, 2017	Apr 20, 2017	1	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CLARIS FINANCIAL, LLC	Sep 19, 2013	Jan 21, 2014	124	Firm change	Ibd to RIA
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	AMERIPRISE ADVISOR SERVICES, INC.	May 13, 2009	May 11, 2009	-2	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	UBS FINANCIAL SERVICES INC.	Aug 4, 2004	Jul 30, 2004	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
168503:6413:VA:2017-04-19	Apr 19, 2017	Apr 20, 2017	GLEN ALLEN, VA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 20, 2017 to presentfactForm ADV
→ CLARIS FINANCIAL, LLCRegistered adviserregistration: previous registration
Jan 21, 2014 to Apr 19, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Sep 19, 2013factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
May 11, 2009 to Oct 5, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 30, 2004 to May 13, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Aug 25, 1999 to Aug 4, 2004factForm ADV

Dated events

No dated event names this entity yet.