Dwain T. Jackson
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 Thompson Jackson was a registered financial advisor .
Dwain is a previously registered financial advisor and started their career in finance in 1972. Dwain had worked at 14 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2003 - December 31, 2004
HARRISON DOUGLAS, INC.
April 16, 2001 - February 5, 2003
SUNAMERICA SECURITIES, INC.
October 5, 2000 - February 5, 2003
SUNAMERICA SECURITIES, INC.
November 30, 1998 - October 9, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 22, 1998 - September 1, 1998
PIM FINANCIAL SERVICES, INC.
July 1, 1996 - April 28, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 3, 1996 - May 20, 1996
AMERICAN HEARTLAND INVESTMENTS INC.
January 31, 1992 - December 31, 1995
CETERA ADVISORS LLC
April 23, 1991 - December 31, 1991
FSC SECURITIES CORPORATION
September 2, 1983 - December 31, 1990
FSC SECURITIES CORPORATION
August 13, 1982 - September 2, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
December 8, 1980 - August 23, 1982
LEGEND CAPITAL CORPORATION
July 12, 1978 - November 8, 1980
MARQUETTE FINANCIAL GROUP, INC.
June 15, 1974 - July 10, 1978
HIMCO DISTRIBUTION SERVICES COMPANY
March 24, 1972 - April 22, 1973
ITT FAMILY SECURITY SALES CORPORATION
March 24, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
January 14, 1972 - December 24, 1972
ALL AMERICAN MANAGEMENT CORPORATION
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: 1/11/1972
Registered Representative ExaminationCurrent Firm
HARRISON DOUGLAS, INC.
CRD#: 16515 / SEC#: , 8-34070
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
