Dwayne H. Leverett
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.
Dwayne Herbert Leverett, who also goes by D H Leverett, was a registered financial professional .
Dwayne is a previously registered financial professional and started their career in finance in 1992. Dwayne had worked at 7 firms and has passed the Series 63, Series 31, 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
February 2, 1997 - April 25, 1998
FIRST UNION BROKERAGE SERVICES, INC.
July 31, 1996 - December 3, 1996
LAIDLAW GLOBAL SECURITIES, INC.
February 7, 1996 - September 5, 1996
MONITOR INVESTMENT GROUP, INC.
November 1, 1995 - February 10, 1996
TOLUCA PACIFIC SECURITIES CORP.
November 30, 1993 - September 8, 1995
MORGAN STANLEY DW INC.
January 26, 1993 - August 24, 1993
UBS FINANCIAL SERVICES INC.
July 13, 1992 - January 7, 1993
GOLDEN HARRIS CAPITAL GROUP, INC.
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
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
