Dwight K. Walker

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CRD#: 1278932

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 Kelly Walker was a registered financial professional .

Dwight is a previously registered financial professional and started their career in finance in 1984. Dwight had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 4, 2013 - February 15, 2019

ADVANCED ADVISOR GROUP, LLC

RIA

CRD#: 140393

BEMIDJI, MN

Past

March 20, 2009 - February 15, 2019

EFS ADVISORS

RIA

CRD#: 115211

BEMIDJI, MN

Past

June 1, 2007 - February 15, 2019

ADVANCED ADVISOR GROUP, LLC

CRD#: 140393

BEMIDJI, MN

Past

June 12, 2006 - June 5, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MINNEAPOLIS, MN

Past

February 21, 2006 - May 19, 2006

QUESTAR CAPITAL CORPORATION

CRD#: 43100

GOLDEN VALLEY, MN

Past

August 31, 2001 - December 31, 2005

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WAITE PARK, MN

Past

January 6, 1999 - September 4, 2001

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

October 1, 1992 - January 6, 1999

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

December 23, 1987 - December 31, 1990

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

Past

April 2, 1986 - December 31, 1990

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

July 26, 1984 - October 14, 1985

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/3/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Current Firm

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC | EFS ADVISORS, LLC | EFS ADVISORS

CRD#: 140393 / SEC#: 801-118465, 8-67313

RIA

Registered Investment Advisory firm - SEC (4/17/2020 Approved)

Iowa

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/10/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/29/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

1995 East Rum River Drive S., Cambridge, MN 55008

Mailing Address

1995 East Rum River Drive S., Cambridge, MN 55008

Phone number

(763) 689-9023

Established

Minnesota since 09/29/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAG ADV PART 2 BROCHURE (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
SCHUTTE, KENT DONALD	PRESIDENT	1432361
FULLER, DOROTHY SUSAN	EXECUTIVE REP. FINOP	4496954
KILLIAN, ELLIE JO	CHIEF COMPLIANCE OFFICER	6364589

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 13,497,240

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.

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Advisor Monitoring

Firm Stability Insights

Dwight K. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

CETERA WEALTH SERVICES, LLC

QUESTAR CAPITAL CORPORATION

CETERA WEALTH SERVICES, LLC

MARQUETTE FINANCIAL GROUP, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

ADVANCED ADVISOR GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Series 63

Date: 7/5/1984

SIE

Date: 10/1/2018

Series 3

Date: 12/3/1984

Series 7

Date: 7/21/1984

Current Firm

ADVANCED ADVISOR GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

ADVANCED ADVISOR GROUP, LLC

TRUST BUT VERIFY

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