Dwight R. Otto
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 Richard Otto was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1968. Dwight had worked at 5 firms and has passed the Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - May 7, 2014
THE LEADERS GROUP, INC.
August 27, 1986 - August 8, 2013
PRINCIPAL SECURITIES, INC.
August 27, 1986 - August 8, 2013
PRINCIPAL SECURITIES, INC.
April 22, 1985 - September 23, 1986
MONY SECURITIES CORPORATION
April 9, 1974 - March 11, 1985
PRINCIPAL SECURITIES, INC.
July 2, 1969 - February 4, 1971
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
June 12, 1968 - December 14, 1973
FOUNDERS ASSET MANAGEMENT, INC.
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: 6/11/1968
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
