Dwight C. Southwick
Professional summary
Dwight Christian Southwick is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.
Dwight is registered as a RR (Registered Representative) and started their career in finance in 1985. Dwight has worked at 10 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 53, Series 27, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dwight Christian Southwick's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2019 - Present
CHARDAN CAPITAL MARKETS LLC
Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119March 1, 2016 - April 2, 2018
MUFG SECURITIES AMERICAS INC.
July 12, 2010 - November 17, 2015
RABO SECURITIES USA, INC.
August 14, 2003 - December 31, 2009
COMMERZ MARKETS LLC
November 13, 2001 - June 14, 2002
WESTPORT PARTNERS LTD
January 4, 1999 - December 31, 2001
EGS SECURITIES CORP.
April 2, 1998 - August 10, 1998
AIBC INVESTMENT SERVICES CORPORATION
June 3, 1997 - May 21, 1998
ASIEL & CO. LLC
October 11, 1996 - June 4, 1997
THE BOSTON GROUP
April 23, 1985 - October 23, 1996
TRADEX BROKERAGE SERVICE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 4/24/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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