Clarence J. Dwyer
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.
Clarence Joseph Dwyer, who also goes by C. J. Dwyer, Cj Dwyer, Clarence Joseph Dwyer Jr, Clarence Joseph Dwyer Jr., Clarence Joseph Jr Dwyer, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1996. Clarence had worked at 10 firms and has passed the Series 66, Series 63, 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
October 26, 2012 - September 23, 2013
PERSONAL FINANCIAL ADVISORS, LLC
September 29, 2011 - January 12, 2012
CORNERSTONE ADVISORY
November 10, 2010 - February 25, 2011
WALNUT STREET SECURITIES, INC.
November 4, 2010 - February 25, 2011
WALNUT STREET SECURITIES, INC.
January 16, 2008 - August 19, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
January 16, 2008 - August 19, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
October 8, 2007 - January 8, 2008
BEAM WEALTH ADVISORS, INC.
April 4, 2007 - November 29, 2007
MUTUAL SERVICE CORPORATION
January 18, 2005 - March 30, 2007
FAIRPORT CAPITAL, INC.
August 12, 2004 - October 20, 2004
EQUITABLE ADVISORS, LLC
February 1, 2000 - June 30, 2004
FAIRPORT CAPITAL, INC.
July 30, 1999 - November 8, 1999
CARILLON INVESTMENTS, INC.
September 9, 1996 - July 9, 1999
FAIRPORT CAPITAL, INC.
June 21, 1996 - August 15, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
PERSONAL FINANCIAL ADVISORS, LLC
CRD#: 118477 / SEC#: 801-60845
Contact information
Documents
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.
