Dwight R. Pierce
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.
Dwight Russell Pierce, who also goes by Dwight Patten, Dewey Pierce, was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1983. Dwight had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2022 - April 14, 2023
OSAIC INSTITUTIONS, INC.
August 19, 2022 - April 14, 2023
OSAIC INSTITUTIONS, INC.
November 6, 2009 - April 23, 2015
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 19, 2005 - October 27, 2021
PRINCIPAL SECURITIES, INC.
March 1, 2005 - October 27, 2021
PRINCIPAL SECURITIES, INC.
August 13, 2004 - November 22, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 10, 2003 - August 31, 2004
IFMG SECURITIES, INC.
August 9, 2002 - August 31, 2004
IFMG SECURITIES, INC.
January 17, 2002 - July 11, 2002
QUICK & REILLY, INC.
September 19, 2001 - October 11, 2002
FIS SECURITIES, INC.
October 19, 1995 - June 28, 2000
BNY MELLON SECURITIES CORPORATION
February 3, 1987 - May 9, 1995
BNY MELLON SECURITIES CORPORATION
March 1, 1983 - April 30, 1984
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
