Dwayne Alan Moyers
Professional Summary
Dwayne Alan Moyers is a registered financial advisor currently at SMH CAPITAL ADVISORS LLC located in Weatherford, Texas and SMH CAPITAL INVESTMENTS LLC located in Fort Worth, Texas. Dwayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Dwayne has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, Series 6TO, SIE, Series 55, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
Contact Information
Main Address
101 York Ave., Weatherford, TX 76086Phone Number
(817) 569-7000# of Employees
7SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
171AUM (Assets Under Management)
$503,081,102Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
State Registrations and Notice Filings
(3/20/2003)
(2/27/2003)
(8/31/2018)
(3/6/2003)
(9/21/2018)
(3/20/2003)
(3/11/2003)
(9/19/2018)
(3/7/2003)
(2/28/2003)
(9/24/2018)
(3/7/2003)
(2/27/2003)
(3/7/2003)
(3/6/2003)
(9/20/2018)
(2/28/2003)
(2/28/2003)
(6/9/1997)
(9/19/2018)
(2/28/2003)
(2/7/2003)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1988About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1991SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Dwayne Alan Moyers's CRS (Customer Relationship Summary).
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