Dwayne N. Dowden
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 Newton Dowden, who also goes by Dwayne N Dowden, was a registered financial professional .
Dwayne is a previously registered financial professional and started their career in finance in 1996. Dwayne had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2014 - October 5, 2016
AVANTAX ADVISORY SERVICES
July 15, 2014 - October 5, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 19, 2012 - September 7, 2012
STERLING CAPITAL MANAGEMENT LLC
February 15, 2010 - September 7, 2012
STERLING CAPITAL DISTRIBUTORS, LLC
September 16, 2008 - October 27, 2010
BB&T ASSET MANAGEMENT, INC.
October 29, 1997 - August 29, 2002
CHARLES SCHWAB & CO., INC.
February 23, 1996 - March 27, 1997
EDWARD JONES
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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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