Dwain P. Fugate
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.
Dwain Paul Fugate was a registered financial professional .
Dwain is a previously registered financial professional and started their career in finance in 1973. Dwain had worked at 11 firms and has passed the Series 63, Series 1 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
June 16, 1992 - April 27, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
July 31, 1986 - December 12, 1990
TOWER SQUARE SECURITIES, INC.
October 3, 1984 - August 14, 1986
E.R. KELLER & CO., INC.
July 19, 1983 - October 15, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - September 3, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
December 28, 1981 - September 4, 1986
OSAIC FA, INC.
September 20, 1978 - December 8, 1979
FRED LA JOHN INVESTMENTS
May 30, 1978 - September 29, 1978
ADVANTAGE CAPITAL CORPORATION
February 9, 1977 - May 15, 1978
VOYA FINANCIAL ADVISORS, INC.
June 27, 1975 - August 14, 1977
OSAIC FA, INC.
June 27, 1975 - September 4, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 5, 1973 - August 2, 1975
NYLIFE SECURITIES LLC
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
Series 1
Date: 8/27/1973
Registered Representative ExaminationCurrent Firm
AMERICAN GENERAL SECURITIES INCORPORATED
CRD#: 13626 / SEC#: , 8-29542
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| AULD, JEFFREY MICHAEL | PRESIDENT, CEO | 857528 |
| BROWN, JAMES BURKE | SENIOR VICE PRESIDENT | 1664825 |
| DENBY, SUSANNE MARIE | FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| HARRELL, JERI MICHELLE | ASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING | |
| HOLLAR, RICHARD ALLEN | DIRECTOR | 248628 |
| LONG, CRAIG MCCUTCHEON | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1406115 |
| NIXON, CHRISTINE | DIRECTOR | |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT | 2587496 |
| ROTHSTEIN, STEVEN ELLIOT | CHIEF FINANCIAL OFFICER, DIRECTOR | 1292456 |
| SORKIN, NOAH DAVID | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 1832767 |
| TUCK, ELIZABETH MARGARET | ASSISTANT SECRETARY | 4075693 |
| WILLIAMS, DANIEL ONIEL | VICE PRESIDENT, TREASURER | |
| WINTER, MATTHEW EVAN | DIRECTOR | 2598136 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
