Michael Dickerson has been an investment adviser representative at Capital Markets IQ since July 2017, and is not listed among the firm’s executive officers or direct owners.
Capital Markets Iq, LLC is a firm with $571M under management, 884 clients and 20 advisers across 19 offices, as of its July 2026 filing.
Michael Dickerson’s longest registration is the current one, 9 years at Capital Markets IQ since 2017. Before joining Capital Markets IQ in 2017, Michael Dickerson was registered through Carlton Hall Asset Management, LLC and Middlebury Asset Advisors Inc.
- Capital Markets Iq, LLCCurrent– present · 9 yearsNew Orleans, LA · Adviser representative · Firm CRD 134921
- Carlton Hall Asset Management, LLC– · under a yearDurham, NC · Adviser representative · Firm CRD 136957
- Middlebury Asset Advisors Inc.– · 4 yearsDurham, NC · Adviser representative · Firm CRD 2107
- Wellington Shields & Co., LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 149021
- H. G. Wellington & Co. Inc. Capital Management Division– · 7 yearsNew York, NY · Adviser representative · Firm CRD 7536
Investment adviser representative registrations
Michael Dickerson is registered as an investment adviser representative in 5 states. The first approvals date from July 2017; the most recent is Arkansas, in February 2026.
- ArkansasSince 27 February 2026
- FloridaSince 10 March 2022
- LouisianaSince 18 September 2020
- North CarolinaSince 21 July 2017
- VirginiaSince 11 September 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 5 August 2002 |
| Series 7 | General Securities Representative Examination | 9 July 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 April 1985 |
| PC | AMEX Put and Call Exam | 15 August 1977 |
| Series 40 | Registered Principal Examination | 8 August 1974 |
| Series 1 | Registered Representative Examination | 8 June 1970 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- AMEX Put and Call Exam
- Name
- Registered Principal Examination
- Name
- Registered Representative Examination
- Full name
- Michael Gregory Dickerson
- CRD
- 67338
- Firm
- Capital Markets IQ · CRD 134921
- Office
- New Orleans, LA
- Registration
- Investment adviser registration
- In the industry since
- October 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Dickerson work?
Michael Dickerson is an investment adviser representative registered through Capital Markets Iq, LLC since July 2017, and is not listed among the firm’s executive officers or direct owners.
Is Michael Dickerson a financial advisor?
Yes. Michael Dickerson has a current investment-adviser registration in Arkansas, Florida, Louisiana, North Carolina and Virginia, through Capital Markets IQ since July 2017.
How many years of experience does Michael Dickerson have?
Michael Dickerson has 23 years in the financial industry, since October 2003, across 5 adviser firms.
What exams has Michael Dickerson passed?
Michael Dickerson has passed 6 licensing exams: the Series 1, Series 40, PC, Series 63, Series 7 and Series 66. The earliest, the Series 1, was passed in June 1970.
Where did Michael Dickerson work before Capital Markets IQ?
Before Capital Markets IQ, Michael Dickerson was registered through Carlton Hall Asset Management, LLC, August 2016 to May 2017; Middlebury Asset Advisors Inc., February 2012 to December 2016; Wellington Shields & Co., LLC, March 2010 to February 2012; H. G. Wellington & Co. Inc. Capital Management Division, July 2003 to December 2010.
Where is Michael Dickerson based?
Michael Dickerson’s registered office is in New Orleans, LA.
Is Michael Dickerson registered with FINRA?
No. Michael Dickerson has no current broker registration.
How can I verify Michael Dickerson’s record?
Search CRD 67338 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Dickerson’s full registration record.