Stephen J. Dybwad
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.
Stephen Jay Dybwad, who also goes by Stephen J Dybwad, Steve Dybwad, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - September 22, 2023
AEGIS WEALTH MANAGEMENT, INC.
November 3, 2016 - February 5, 2020
VIRTUE CAPITAL MANAGEMENT, LLC
February 12, 2013 - October 30, 2014
KESTRA INVESTMENT SERVICES, LLC
February 11, 2013 - October 30, 2014
KESTRA INVESTMENT SERVICES, LLC
May 9, 2011 - February 13, 2013
SPC
May 9, 2011 - February 13, 2013
PARKLAND SECURITIES, LLC
September 15, 2000 - May 10, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 15, 1999 - May 10, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 25, 1998 - October 3, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 16, 1997 - September 25, 1998
ADVANTAGE CAPITAL CORPORATION
March 24, 1993 - September 28, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
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
AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,538 |
| AUM (Assets Under Management) | $ 175,971,164 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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