Michael J. Dwyer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael James Dwyer, who also goes by Mickey Dwyer, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 7 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - May 3, 2011
QUESTAR CAPITAL CORPORATION
April 6, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 10, 2002 - February 26, 2004
SECURITIES AMERICA, INC.
March 30, 2000 - April 4, 2002
SECURITIES AMERICA, INC.
June 15, 1994 - March 30, 2000
VOYA FINANCIAL ADVISORS, INC.
February 26, 1990 - June 3, 1994
SECURITIES AMERICA, INC.
November 19, 1989 - February 28, 1990
OSAIC WEALTH, INC.
November 25, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 15, 1982 - July 9, 1985
EQUABLE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
