DJ
Dwayne Javier
ADVISORS ASSET MANAGEMENT
Matawan, NJ
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CRD#: 2477898
DJ
Professional summary
Dwayne Javier, who also goes by Dwayne August Javier, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Matawan, New Jersey.
Dwayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Dwayne has worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dwayne August Javier
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.
STRATTON PROPERTIES, LLC. POSITION: co-owner/manager NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2012 ADDRESS: 31 Stratton Road, Matawan NJ 07747, United States DESCRIPTION: Manage property, accounting for rent revenue
CRS (Client Relationship Summary) - RIA
Click below to view Dwayne Javier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dwayne Javier'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®
NoneExperience
Current
December 3, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Matawan, NJ
Current
December 2, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 420 Lexington Avenue, Suite 1705, New York, NY 10170RIA
BD
CRD#: 46727
New York, NY
Past
January 12, 2024 - December 3, 2024
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
December 2, 2020 - July 17, 2024
THRIVENT ASSET MANAGEMENT, LLC
RIA
CRD#: 137751
Minneapolis, MN
Past
November 12, 2020 - December 31, 2023
THRIVENT DISTRIBUTORS, LLC
BD
CRD#: 179512
Minneapolis, MN
Past
November 21, 2019 - October 28, 2020
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
January 27, 2016 - May 31, 2019
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Matawan, NJ
Past
January 26, 2016 - May 31, 2019
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
April 7, 2015 - January 8, 2016
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
March 26, 2015 - January 8, 2016
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
October 15, 2013 - April 7, 2015
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
October 4, 2013 - April 7, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 7, 2012 - September 30, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
FAIRFIELD, NJ
Past
February 7, 2012 - September 30, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
FAIRFIELD, NJ
Past
June 29, 2006 - September 12, 2011
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NEWARK, NJ
Past
May 22, 2006 - September 12, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
April 29, 1997 - February 23, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
March 10, 1997 - March 27, 1997
COMMONWEALTH ASSOCIATES
BD
CRD#: 20833
NEW YORK, NY
Past
February 25, 1996 - February 6, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
May 11, 1994 - December 31, 1995
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(12/2/2024)
RR
District of Columbia(12/11/2024)
RR
Maryland(12/2/2024)
RR
New Jersey(12/2/2024)
IAR
New Jersey(12/3/2024)
RR
New York(3/18/2025)
RR
Pennsylvania(12/2/2024)
RR
Virginia(12/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
