Dwight G. Sulc
Professional summary
Dwight George Sulc was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dwight is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Dwight had worked at 9 firms, which includes B.B. GRAHAM & COMPANY INC., PFS INVESTMENTS INC., IRON STREET SECURITIES INC., CENTAURUS FINANCIAL INC., TITAN/VALUE EQUITIES GROUP INC., HOWARD WEIL LABOUISSE FRIEDRICHS INC., ROTAN MOSLE INC., UBS FINANCIAL SERVICES INC., WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2013 - April 22, 2019
B.B. GRAHAM & COMPANY, INC.
July 12, 2013 - August 15, 2013
PFS INVESTMENTS INC.
February 15, 2006 - August 15, 2013
PFS INVESTMENTS INC.
April 25, 2005 - December 31, 2005
IRON STREET SECURITIES INC.
March 31, 1999 - April 8, 2005
CENTAURUS FINANCIAL, INC.
March 3, 1988 - March 30, 1999
TITAN/VALUE EQUITIES GROUP, INC.
May 12, 1987 - December 31, 1987
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
June 23, 1986 - May 27, 1987
ROTAN MOSLE INC.
June 12, 1986 - June 26, 1986
UBS FINANCIAL SERVICES INC.
April 26, 1984 - June 30, 1986
WADDELL & REED
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
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