Dwight O. Badger
Professional summary
Dwight Oliver Badger was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dwight is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Dwight had worked at 10 firms, which includes ADVANCED EQUITIES INC., PRIMEX, LASALLE ST SECURITIES L.L.C., MADISON SECURITIES INC., LEXINGTON SECURITIES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, CIBC WORLD MARKETS CORP., J.P. MORGAN SECURITIES LLC, PRUDENTIAL EQUITY GROUP LLC, THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1999 - August 15, 2012
ADVANCED EQUITIES, INC.
May 11, 1999 - September 1, 1999
PRIMEX
April 27, 1998 - March 29, 1999
LASALLE ST SECURITIES, L.L.C.
July 12, 1995 - October 30, 1995
MADISON SECURITIES, INC.
September 14, 1994 - June 13, 1995
LEXINGTON SECURITIES, INC.
April 23, 1993 - September 13, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 24, 1991 - April 30, 1993
CIBC WORLD MARKETS CORP.
October 1, 1990 - April 26, 1991
J.P. MORGAN SECURITIES LLC
June 28, 1990 - September 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1990 - June 12, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
ADVANCED EQUITIES, INC.
CRD#: 35545 / SEC#: 801-67983, 8-46742
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| BENDER, BRIAN | ROSFP | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
