DM
Dwayne A. Moyers
SMH CAPITAL ADVISORS LLC
Fort Worth, TX 76109
Some features on this profile are disabled
CRD#: 1850654
DM
Professional summary
Dwayne Alan Moyers is a registered financial advisor currently at SMH CAPITAL ADVISORS LLC located in Fort Worth, 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 7, Series 6, Series 10, Series 14, Series 9, Series 24, Series 27, Series 53, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Moyers Organization LLC is the holding company for both SMH Capital Advisors LLC (an SEC registered investment adviser) and SMH Capital Investments LLC (a FINRA member broker-dealer).Dwayne Moyers is the sole member of the LLC. He does not spend more than 2 hours per month related to the business of Moyers Organization LLC.
Mr. Moyers is the CEO/CCO of SMH Capital Investments LLC, a FINRA member broker-dealer located at 4200 S. Hulen St., Fort Worth, TX. He purchased the firm in August of 2018 and spends approximately 20 hours per week during trading hours. He is also the CEO of SMH Capital Advisors LLC, an SEC-registered investment adviser located at the same location as the broker-dealer. He spends approximately 20 hours per week during trading hours on the business.
CRS (Client Relationship Summary) - RIA
Click below to view Dwayne Alan Moyers's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 9, 1997 - Present
SMH CAPITAL ADVISORS LLC
Office #1: 4200 S. Hulen St. Suite 534, Fort Worth, TX 76109RIA
CRD#: 108344
Fort Worth, TX
Current
August 6, 2018 - Present
SMH CAPITAL INVESTMENTS LLC
Office #1: 4200 S. Hulen Suite 534, Fort Worth, TX 76109Office #2: 101 York Ave., Weatherford, TX 76086Office #3: 4200 S. Hulen Suite 534, Ft. Worth, TX 76109BD
CRD#: 24535
Fort Worth, TX
Past
November 24, 2009 - January 2, 2019
SANDERS MORRIS LLC
RIA
CRD#: 20580
FORT WORTH, TX
Past
October 2, 2000 - January 2, 2019
SANDERS MORRIS LLC
BD
CRD#: 20580
FORT WORTH, TX
Past
June 27, 1997 - October 2, 2000
CUMMER/MOYERS SECURITIES, INC.
BD
CRD#: 42351
FORT WORTH, TX
Past
April 18, 1991 - July 7, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
July 5, 1988 - August 30, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
SC
SMH CAPITAL ADVISORS LLC
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
CRD#: 108344 / SEC#: 801-54089
RIA
Registered Investment Advisory firm - (6/6/1997 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(3/20/2003)
IAR
California(2/27/2003)
RR
California(8/31/2018)
IAR
Colorado(3/6/2003)
RR
Colorado(9/21/2018)
IAR
Connecticut(3/20/2003)
IAR
Florida(3/11/2003)
RR
Florida(9/19/2018)
IAR
Georgia(3/7/2003)
IAR
Illinois(2/28/2003)
RR
Louisiana(9/24/2018)
IAR
Massachusetts(3/7/2003)
IAR
New Hampshire(2/27/2003)
IAR
New Jersey(3/7/2003)
IAR
New Mexico(3/6/2003)
RR
New York(9/20/2018)
IAR
Ohio(2/28/2003)
IAR
Pennsylvania(2/28/2003)
IAR
Texas(6/9/1997)
RR
Texas(9/19/2018)
IAR
Virginia(2/28/2003)
IAR
Wisconsin(2/7/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/31/1991
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SC
SMH CAPITAL ADVISORS LLC
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
CRD#: 108344 / SEC#: 801-54089
RIA
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Contact information
Main Address
4200 S. Hulen St. Suite 534, Fort Worth, TX 76109
Mailing Address
Phone number
(817) 569-7000
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 189 |
| AUM (Assets Under Management) | $ 419,741,296 |
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.
