Dwight H. Carter
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 Houston Carter, who also goes by Dwight H. Carter, was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1985. Dwight had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2017 - July 21, 2023
HAZARD & SIEGEL, INC.
August 8, 2006 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
August 18, 2004 - April 26, 2006
GUNNALLEN FINANCIAL, INC
March 25, 2003 - July 14, 2004
OXFORD FINANCIAL GROUP
July 24, 2002 - February 4, 2003
NOWTRADE, CORP.
February 5, 2001 - June 24, 2002
MEDALLION INVESTMENT SERVICES, INC.
April 28, 1995 - February 5, 2001
KINGSTON RESOURCES,INC.
November 19, 1985 - November 15, 1994
F & G SECURITIES, 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
Exams
Current Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
