Dwain K. Dungen
Professional summary
Dwain Keith Dungen, who also goes by Dwain K Dungen, is a registered financial advisor currently at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC located in Columbus, Texas.
Dwain is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Dwain has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dwain Keith Dungen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2024 - Present
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
April 9, 2019 - March 30, 2022
OSAIC FS, INC.
April 14, 2000 - December 20, 2000
OSAIC FS, INC.
October 12, 1998 - May 16, 2000
PRUCO SECURITIES, LLC.
February 18, 1998 - October 2, 1998
OSAIC FS, INC.
September 26, 1996 - April 28, 1998
BERKSHIRE EQUITY SALES, INC.
September 24, 1990 - October 3, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/5/2024)
Exams
Series 6TO
Date: 4/9/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,592 |
| AUM (Assets Under Management) | $ 28,035,873,347 |
Red Flags
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