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DC

Dwight C. Canfield

INSPEREX LLC
Delray Beach, FL 33483
Some features on this profile are disabled
CRD#: 1220349
DC

Professional summary

Dwight Carson Canfield is a registered financial professional currently at INSPEREX LLC located in Delray Beach, Florida.

Dwight is registered as a RR (Registered Representative) and started their career in finance in 1983. Dwight has worked at 10 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dwight Carson Canfield's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 17, 2015 - Present

INSPEREX LLC

Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
BD
CRD#: 101420
Delray Beach, FL
Past

December 16, 2013 - February 17, 2015

D.A. DAVIDSON & CO.

BD
CRD#: 199
CHICAGO, IL
Past

March 1, 2013 - January 2, 2014

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
CHICAGO, IL
Past

January 4, 2011 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

December 9, 2008 - February 4, 2011

WALL STREET ACCESS

BD
CRD#: 10012
CHICAGO, IL
Past

July 29, 2002 - January 8, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
CHICAGO, IL
Past

September 18, 2001 - July 31, 2002

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

July 25, 1985 - October 20, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 29, 1983 - June 18, 1985

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

December 21, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/28/2020)
RR
California
(2/17/2015)
RR
Colorado
(2/19/2015)
RR
Connecticut
(2/19/2015)
RR
Florida
(2/17/2015)
RR
Georgia
(2/19/2015)
RR
Illinois
(2/17/2015)
RR
Indiana
(2/19/2015)
RR
Iowa
(2/19/2015)
RR
Kentucky
(1/9/2020)
RR
Maryland
(11/13/2020)
RR
Michigan
(2/19/2015)
RR
Minnesota
(2/19/2015)
RR
Missouri
(2/19/2015)
RR
New Jersey
(2/17/2015)
RR
New York
(2/17/2015)
RR
North Carolina
(2/19/2015)
RR
Ohio
(2/19/2015)
RR
Pennsylvania
(2/19/2015)
RR
South Dakota
(2/8/2016)
RR
Texas
(2/19/2015)
RR
Utah
(8/29/2018)
RR
Wisconsin
(2/19/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 2/21/1997
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC

CRD#: 101420 / SEC#: , 8-52081

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INSPEREX HOLDINGS LLCMEMBER: VOTING
BUSSCHER, ARNOLD BRADLEYCHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL2213934
CARRELS, CHRISTINE ANNCHIEF MARKETING OFFICER6651750
DEEG, ADITI DAVARECHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP4279152
ELLIOTT, LAURA SUEPRESIDENT2125558
MITCHELL, SCOTT ALEXANDERCHIEF EXECUTIVE OFFICER4717597
NICHOLSON, MARSHALL ALLENHEAD OF STRATEGIC INITIATIVES4585471
PAPAGIANNIS, JAMES JOHNCHIEF COMPLIANCE OFFICER & AMLCO2449960
RHODES, DERYK TREVORHEAD OF WEALTH MANAGEMENT SOLUTIONS4157411
TOLAR, JOHN MHEAD OF FIXED INCOME SALES & TRADING3075402

Disclosures

Regulatory Event1

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.

Company Information

INSPEREX LLC

CRD#: 101420Delray Beach, FL 33483

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