Unclaimed Profile

Thomas Joel Dice

DICE FINANCIAL INVESTMENT ADVISORY, LLC·MITCHELL, South Dakota

SIE, Series 1, Series 7TO, Series 24, Series 51, Series 63, Series 65CFP ChFCClean record33 years registeredDICE FINANCIAL INVESTMENT ADVISORY, LLC

1716 N. SANBORN BLVD., MITCHELL, SD 57301CRD# 67204Firm CRD# 304424

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Joel Dice · MITCHELL, SD

Registration

CRD #67204 · DICE FINANCIAL INVESTMENT ADVISORY, LLC · 33 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DICE FINANCIAL INVESTMENT ADVISORY, LLC

OSAIC WEALTH, INC.

Apr 2021 – Dec 2025

MITCHELL, SD

DICE FINANCIAL INVESTMENT ADVISORY, LLC

Dec 2019 – Dec 2021

MITCHELL, SD

DICE FINANCIAL INVESTMENT ADVISORY

Dec 2002 – Dec 2019

MITCHELL, SD

ROYAL ALLIANCE ASSOCIATES, INC.

Feb 1993 – Oct 2014

MITCHELL, SD

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 24

Series 51

Series 63

Series 65

Registration record

First registered · February 11, 1993

Years registered · 33

Professional designations · CFP, ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DICE FINANCIAL INVESTMENT ADVISORY, LLC

CRD 304424 · SEC 801-117441

AUM

$141M

Regulatory assets under management

Employees

86 client accounts

Services offered by DICE FINANCIAL INVESTMENT ADVISORY, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DICE FINANCIAL INVESTMENT ADVISORY, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Joel Dice offer?

Thomas Joel Dice specializes in Financial Planning, Investment Management, Wealth Management.

What are Thomas Joel Dice's credentials?

Thomas Joel Dice holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas Joel Dice located?

Thomas Joel Dice is based in MITCHELL, South Dakota, last registered with DICE FINANCIAL INVESTMENT ADVISORY, LLC.

How does Thomas Joel Dice charge for services?

Thomas Joel Dice's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DICE FINANCIAL INVESTMENT ADVISORY, LLC?

DICE FINANCIAL INVESTMENT ADVISORY, LLC has approximately 5 employees and manages $141M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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