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Dwight K. Hazlewood

Some features on this profile are disabled
CRD#: 2799355
DH

Professional summary

Dwight Keith Hazlewood was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dwight Keith Hazlewood, who also goes by Dwight Keith Hazelwood, Keith Dwight Hazelwood, was a registered financial advisor .

Dwight is a previously registered financial advisor and started their career in finance in 1997. Dwight had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dwight Keith Hazelwood | Keith Dwight Hazelwood

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

December 13, 2007 - March 4, 2011

BROOKSTONE SECURITIES, INC.

RIA
CRD#: 13366
LITTLE ROCK, AR
Past

September 11, 2007 - March 4, 2011

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
LITTLE ROCK, AR
Past

April 25, 2007 - May 29, 2007

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
BOCA RATON, FL
Past

June 17, 2005 - September 26, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
LITTLE ROCK, AR
Past

June 16, 2005 - September 26, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LITTLE ROCK, AR
Past

June 30, 1997 - June 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LITTLE ROCK, AR
Past

June 13, 1997 - June 16, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 13, 1997 - June 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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: 4/30/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/21/2000
General Securities Principal Examination

Current Firm

BS
BROOKSTONE SECURITIES, INC.
BROOKSTONE INVESTMENT ADVISORY SERVICES | RISE, INC. | RESOURCE-REALTY INVESTMENT SECURITIES ENTERPRISES, INC. | BROOKSTONE SECURITIES, INC.

CRD#: 13366 / SEC#: 801-67061, 8-29116

BD
Terminated by SEC on 08/19/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/14/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 APRIL 25, 2012 (4/27/2012)

Direct owners and executive officers

NamePositionCRD#
BROOKSTONE CAPITAL MANAGEMENT, LLC.PARENT COMPANY
LOCY, DAVID WILLIAMDIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER4682865

Disclosures

Regulatory Event10
Arbitration6

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

BROOKSTONE SECURITIES, INC.

CRD#: 13366

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