Dave Dickinson has more than thirty years of service and vast experience in the financial services industry. He is an expert in RIA compliance and operations acting as Chief Compliance Officer for his own and other RIA firms.
He started his career as a wholesaler for the Paul Revere Insurance Companies before spending seven years as a financial consultant with Merrill Lynch. He was an early adopter of the fee-only registered investment advisory business founding several RIA practices.
Dave has consulted for RIA firms on investment management, operations, compliance, marketing, and RIA start-up systems; and has assisted his wife for many years with her regulatory compliance consulting practice.
Together, our principals have more than sixty years of industry experience.
He is a graduate of Michigan State University and has held the Series 7, 26, 63, and 65 securities registrations and life, health, annuity, and variable insurance licenses. Dave has been quoted in The Wall Street Journal, ThinkAdvisor, Reuters, US News & World Report, Financial Advisor IQ, Plan Sponsor, and many local publications.
Our experienced, friendly team includes one of the most knowledgeable compliance professionals in the nation.
Regulatory Alliance is owned and managed by Dave’s wife, Beth Dickinson.