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DW

Dwight D. Wilkes

Some features on this profile are disabled
CRD#: 2701275
DW

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.

Dwight Douglas Wilkes was a registered financial professional .

Dwight is a previously registered financial professional and started their career in finance in 1996. Dwight had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2008 - October 28, 2016

NWF ADVISORY SERVICES INC

RIA
CRD#: 110410
LOS ANGELES, CA
Past

June 27, 2008 - October 24, 2016

OSAIC WEALTH, INC.

RIA
CRD#: 23131
LOS ANGELES, CA
Past

June 20, 2008 - October 24, 2016

OSAIC WEALTH, INC.

BD
CRD#: 23131
LOS ANGELES, CA
Past

February 28, 2005 - June 26, 2008

NEW ENGLAND SECURITIES

RIA
CRD#: 615
WOODLAND HILLS, CA
Past

December 13, 2004 - June 26, 2008

NEW ENGLAND SECURITIES

BD
CRD#: 615
WOODLAND HILLS, CA
Past

June 8, 2000 - November 29, 2004

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
IRVINE, CA
Past

September 19, 1997 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

September 19, 1997 - November 29, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

February 14, 1996 - March 10, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 14, 1996 - March 10, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA
Registered Investment Advisory firm - (6/30/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/27/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/1996
General Securities Representative Examination

Current Firm

NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA
Registered Investment Advisory firm - (6/30/1998 Approved)
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Contact information

Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts11,979
AUM (Assets Under Management)$ 3,824,876,751

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

NWF ADVISORY SERVICES INC

CRD#: 110410

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