AdFi
MJ

Mark James Dickman

Investment Adviser Representative at INDEPENDENT FINANCIAL PARTNERS

Crescent Springs, KYCRD #2066229Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
2 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
KentuckyOhio
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/30/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 11/18/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/15/2003
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/7/1992
Series 24
General Securities Principal Examination
Passed 12/9/2010

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Less than $30,000,0001.65%
Greater than or equal to $30,000,000 but less than $60,000,0001.25%
Greater than or equal to $60,000,000 but less than $90,000,0001.10%
Greater than $90,000,0001.00%
Source

Independent Financial Partners Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INDEPENDENT FINANCIAL PARTNERSCurrent
3/15/2019Crescent Springs, KY
INDEPENDENT ADVISOR ALLIANCE, LLC
12/10/201812/20/2018Crestview Hills, KY
INDEPENDENT FINANCIAL PARTNERS
10/11/201812/7/2018Crestview Hills, KY
INDEPENDENT FINANCIAL PARTNERS
3/1/201110/10/2018Crestview Hills, KY
LPL FINANCIAL LLC
8/3/20105/11/2011Crestview Hills, KY
U.S. BANCORP INVESTMENTS, INC.
5/31/20068/6/2010Carrollton, KY

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark James Dickman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Mark James Dickman - Financial Advisor in Crescent Springs, KY | AdvisorFinder