Dwayne E. Curtis

BANKERS LIFE SECURITIES

Webster, TX 77598

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CRD#: 5582866

Professional summary

Dwayne Eric Curtis, who also goes by Dwayne Eric Curtis Jr., is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Webster, Texas.

Dwayne is registered as a RR (Registered Representative) and started their career in finance in 2008. Dwayne has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dwayne Eric Curtis Jr.

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) - BD

Click below to view Dwayne Eric Curtis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 26, 2016 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 711 W Bay Area Blvd Ste 300, Webster, TX 77598

CRD#: 173962

Webster, TX

Past

September 10, 2015 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

HOUSTON, TX

Past

October 31, 2008 - January 23, 2009

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(3/15/2024)

Florida
(3/21/2024)

Iowa
(11/22/2019)

Louisiana
(12/6/2021)

Maryland
(7/11/2024)

Michigan
(7/11/2024)

New Jersey
(1/29/2025)

New Mexico
(11/22/2019)

Oklahoma
(1/29/2025)

Texas
(5/26/2016)

Virginia
(2/10/2023)

Exams

State Security Law Exam

Series 63

Date: 11/28/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/10/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE SECURITIES, INC.

BANKERS LIFE | BL SECURITIES, INC. | BANKERS LIFE SECURITIES, INC.

CRD#: 173962 / SEC#: , 8-69562

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

303 E Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Phone number

(844) 553-9083

Established

Indiana since 07/31/2014

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CDOC, INC.	PARENT COMPANY
GOLDBERG, SCOTT LOUIS	BOARD MEMBER	5296395
HEILMAN, CHERYL LYNN	PRESIDENT/CEO/DIRECTOR	2114445
JOSEPHSON, STEVEN M	COO, DIRECTOR	2239540
KELLY, BRETT J	DIRECTOR, BLS OPERATIONS	4818868
LAMSON, MARK LEE	DIRECTOR OF SALES PRACTICE	1796166
MCDONOUGH, PAUL H	BOARD MEMBER	7089411
ROBERTS, ALBERTA STEPHENS	CHIEF COMPLIANCE OFFICER/ SECRETARY	2681068
TUCKER, CLARK BOMAR	FINOP	1977842

Disclosures

Regulatory Event	1
Civil Event	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Dwayne E. Curtis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dwayne Eric Curtis's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/2015

SIE

Date: 10/1/2018

Series 6

Date: 9/10/2015

FINRA

Current Firm

BANKERS LIFE SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BANKERS LIFE SECURITIES, INC.

TRUST BUT VERIFY

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