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DF

Dwight A. Fay

AUXAN CAPITAL ADVISORS
Springfield, MO 65807
Some features on this profile are disabled
CRD#: 2154399
DF

Professional summary

Dwight Alan Fay SR is a registered financial advisor currently at AUXAN CAPITAL ADVISORS, LLC located in Springfield, Missouri.

Dwight is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Dwight has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dwight Alan Fay SR'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®
None

Experience

Current

November 19, 2018 - Present

AUXAN CAPITAL ADVISORS, LLC

Office #1: 2215 W Chesterfield Blvd Suite 10, Springfield, MO 65807
RIA
CRD#: 133061
Springfield, MO
Past

October 31, 1995 - September 26, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SPRINGFIELD, MO
Past

September 5, 1991 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 5, 1991 - September 26, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SPRINGFIELD, MO

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.

Highlighted states indicate IAR registrations

IAR
Arkansas
(7/7/2023)
IAR
Missouri
(11/19/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/10/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/1991
General Securities Representative Examination

Current Firm

AC
AUXAN CAPITAL ADVISORS, LLC
AUXAN CAPITAL ADVISORS LLC | BLAICOL CAPITAL MANAGEMENT, LLC | AUXAN CAPITAL ADVISORS, LLC

CRD#: 133061 / SEC#:

Arkansas
Registered Investment Advisory firm - (6/29/2017 Approved)
Kansas
Registered Investment Advisory firm - (9/1/2022 Approved)
Louisiana
Registered Investment Advisory firm - (5/16/2022 Approved)
Missouri
Registered Investment Advisory firm - (10/12/2004 Approved)
Ohio
Registered Investment Advisory firm - (6/1/2021 Approved)
Tennessee
Registered Investment Advisory firm - (11/27/2023 Approved)
Texas
Registered Investment Advisory firm - (7/14/2011 Approved)
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Contact information

Main Address
2215 W Chesterfield Blvd Suite 10, Springfield, MO 65807
Mailing Address
Phone number
(417) 268-9650
Established
Firm type
Fiscal year end
# of Employees
8

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts887
AUM (Assets Under Management)$ 89,638,927

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.

Company Information

AUXAN CAPITAL ADVISORS, LLC

CRD#: 133061Springfield, MO 65807

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