Francis X. Dwyer
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.
Francis Xavier Dwyer, who also goes by Frank Dwyer, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1986. Francis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2021 - December 11, 2024
OSAIC INSTITUTIONS, INC.
November 2, 2016 - December 11, 2024
OSAIC INSTITUTIONS, INC.
September 17, 2015 - October 28, 2016
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
May 7, 2012 - September 3, 2015
CETERA INVESTMENT SERVICES LLC
May 24, 2006 - May 2, 2012
KEY INVESTMENT SERVICES LLC
June 24, 2004 - May 22, 2006
MOORS & CABOT, INC.
May 14, 1999 - June 16, 2004
KEYBANC CAPITAL MARKETS INC.
December 2, 1997 - May 14, 1999
KEY INVESTMENTS INC.
November 15, 1996 - December 11, 1997
RUMSON CAPITAL, LLC
December 7, 1993 - April 26, 1995
KEY INVESTMENTS INC.
June 3, 1992 - December 14, 1993
PRUDENTIAL EQUITY GROUP, LLC
April 20, 1990 - October 9, 1990
LIT AMERICA, INC.
May 20, 1986 - January 30, 1989
INVESTACORP, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Series 55
Date: 12/22/2005
Limited Representative-Equity Trader ExamSeries 25
Date: 11/10/1999
NYSE Trading Assistant ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
