Dwayne K. Nix
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.
Dwayne Keith Nix was a registered financial professional .
Dwayne is a previously registered financial professional and started their career in finance in 1999. Dwayne had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 27, 2011 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 16, 2010 - June 20, 2011
AMERITAS INVESTMENT COMPANY, LLC
July 7, 2010 - June 20, 2011
AMERITAS INVESTMENT COMPANY, LLC
January 4, 2005 - July 2, 2010
MORGAN KEEGAN & COMPANY, LLC
January 4, 2005 - July 2, 2010
MORGAN KEEGAN & COMPANY, LLC
March 30, 2000 - January 11, 2005
CITIGROUP GLOBAL MARKETS INC.
October 15, 1999 - January 11, 2005
CITIGROUP GLOBAL MARKETS 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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