Thomas 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.
Thomas Joseph Dwyer III, who also goes by Thomas Joseph Dwyer, Thomas Joseph III Dwyer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - December 15, 2017
NOVUS WEALTH ADVISORS
December 5, 2014 - September 2, 2016
LPL FINANCIAL LLC
September 28, 1999 - December 24, 2014
MOMENTUM INDEPENDENT NETWORK INC.
May 20, 1998 - December 24, 2014
MOMENTUM INDEPENDENT NETWORK INC.
December 24, 1991 - May 4, 1998
MORGAN STANLEY DW INC.
July 1, 1983 - December 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 1/7/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NOVUS WEALTH ADVISORS
CRD#: 164547 / SEC#:
Contact information
Red Flags
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