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Dix Lee Pickering

THE O.n. Equity Sales Co.

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About Dix Lee Pickering

Dix Pickering is a financial advisor with The O.n. Equity Sales Co.. Dix has been in the financial industry since 1980 and holds the Series 1, Series 6TO and SIE exams. Dix has been registered with FINRA and the state of Ohio since 1992 and is also registered in Maryland. Dix previously worked at Penn Mutual Equity Services, Inc., G. R. Phelps & Co., Inc., and SMA Equities, Inc..

Firm Information

Dix Pickering is currently registered with THE O.n. Equity Sales Co.. THE O.n. Equity Sales Co. is a Corporation that was formed on August 22, 1968. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have a history of regulatory events and arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

171

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dix Pickering’s Registration & Firm History

OH

01/17/1992 - Present

THE O.n. Equity Sales Co. (Westerville OH)

PA

08/03/1990 - 01/22/1992

PENN MUTUAL EQUITY SERVICES, INC. (HORSHAM PA)

NA

09/10/1982 - 07/26/1990

G. R. PHELPS & CO., INC.

NA

05/20/1980 - 09/20/1982

SMA EQUITIES, INC.

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Licenses & Designations

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/1980

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dix Lee Pickering.
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