David Dickman has been Founder, Managing Partner, CCO of Mindful Wealth since June 2018, is a control person of the firm and directly owns 75% or more of it. David Dickman holds a BA in Economics from the University of Illinois and an MBA in Finance from DePaul University, Kellstadt Graduate School of Business.
Mindful Wealth LLC is a Glencoe, IL firm with $225M under management, 57 clients and 1 adviser in one office, as of its May 2026 filing.
David Dickman is Founder and Managing Partner of Mindful Wealth LLC, based in Northbrook, Illinois. He previously served as Managing Director and Head of Investments for the Midwest Region at J.P.Morgan Private Bank, and later as President of Wealth Management at Vivaldi Capital Management. He has spent more than 25 years in private banking, investments, and markets.
David Dickman’s longest registration was 8 years at J.P. Morgan Securities LLC (2008–2017). Before joining Mindful Wealth in 2018, David Dickman was registered through Vivaldi Capital Management, LLC and J.P. Morgan Securities LLC.
- Mindful Wealth LLCCurrent– present · 8 yearsNorthbrook, IL · Adviser representative · Firm CRD 297493
- Vivaldi Capital Management, LLC– · under a yearChicago, IL · Adviser representative · Firm CRD 160150
- J.P. Morgan Securities LLC– · 8 yearsChicago, IL · Adviser representative · Firm CRD 79
- J. P. Morgan Securities Inc.– · under a yearChicago, IL · Adviser representative · Firm CRD 18718
- Lehman Brothers Inc.– · 3 yearsChicago, IL · Adviser representative · Firm CRD 7506
Investment adviser representative registrations
David Dickman is registered as an investment adviser representative in 3 states. The first approvals date from August 2018; the most recent is Louisiana, in October 2024.
- IllinoisSince 2 August 2018
- LouisianaSince 21 October 2024
- MichiganSince 10 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 30 November 1999 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 2 July 1999 |
| Series 3 | National Commodity Futures Examination | 23 December 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 June 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 June 1996 |
| Series 7 | General Securities Representative Examination | 17 June 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Michael Dickman
- CRD
- 2694451
- Firm
- Mindful Wealth · CRD 297493
- Role
- Founder, Managing Partner, CCO
- Office
- Northbrook, IL
- Registration
- Investment adviser registration
- In the industry since
- August 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mindfulwealthllc.com
Where does David Dickman work?
David Dickman has been Founder, Managing Partner, CCO of Mindful Wealth LLC since June 2018, and is a control person of the firm.
Is David Dickman a financial advisor?
Yes. David Dickman has a current investment-adviser registration in Illinois, Louisiana and Michigan, through Mindful Wealth since August 2018.
How many years of experience does David Dickman have?
David Dickman has 29 years in the financial industry, since August 1997, across 5 adviser firms.
What exams has David Dickman passed?
David Dickman has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 3, Series 8 and Series 24. The earliest, the Series 7, was passed in June 1996. FINRA credited David Dickman with the SIE, which began in October 2018.
Where did David Dickman work before Mindful Wealth?
Before Mindful Wealth, David Dickman was registered through Vivaldi Capital Management, LLC, November 2017 to May 2018; J.P. Morgan Securities LLC, October 2008 to March 2017; J. P. Morgan Securities Inc., November 2007 to October 2008; Lehman Brothers Inc., June 2004 to August 2007.
Where is David Dickman based?
David Dickman’s registered office is in Northbrook, IL.
Is David Dickman registered with FINRA?
No. David Dickman has no current broker registration.
How can I verify David Dickman’s record?
Search CRD 2694451 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Dickman’s full registration record.