Dwight A. Lydic
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 Allen Lydic, CFP®, who also goes by Dwight Lydic, was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1999. Dwight had worked at 7 firms and has passed the Series 66, Series 63, SIE, 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
Start date: 2011
Experience
June 24, 2015 - November 3, 2015
EAGLE STRATEGIES LLC
June 9, 2015 - November 3, 2015
NYLIFE SECURITIES LLC
August 18, 2005 - June 1, 2015
PRINCIPAL SECURITIES, INC.
August 1, 2005 - June 1, 2015
PRINCIPAL SECURITIES, INC.
January 1, 2004 - June 22, 2005
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 22, 2005
VOYA FINANCIAL ADVISORS, INC.
May 1, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 30, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 23, 2001 - April 29, 2003
EQUITY SERVICES, INC.
September 29, 1999 - April 29, 2003
EQUITY SERVICES, INC.
February 23, 1999 - September 27, 1999
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
