Dwight Harris
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 Harris was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1975. Dwight had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - November 3, 2014
PARK AVENUE SECURITIES LLC
May 15, 2009 - November 3, 2014
PARK AVENUE SECURITIES LLC
February 8, 2008 - April 2, 2009
NWF ADVISORY SERVICES INC
February 5, 2008 - April 2, 2009
OSAIC WEALTH, INC.
December 6, 2006 - April 2, 2009
OSAIC WEALTH, INC.
December 2, 2003 - December 20, 2006
EAGLE STRATEGIES LLC
April 17, 1995 - December 20, 2006
NYLIFE SECURITIES LLC
July 23, 1993 - March 31, 1995
OSAIC WEALTH, INC.
November 19, 1989 - May 24, 1993
OSAIC WEALTH, INC.
October 8, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
October 8, 1987 - July 6, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 8, 1987 - July 6, 1989
OSAIC FA, INC.
October 29, 1986 - March 10, 1987
WEST CONTINENTAL SECURITIES, INC.
February 4, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 21, 1982 - February 16, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 24, 1980 - March 8, 1983
GENERAL AMERICAN LIFE INSURANCE COMPANY
April 24, 1979 - January 7, 1980
E. F. HUTTON & COMPANY INC
June 2, 1977 - April 4, 1978
OSAIC FS, INC.
October 23, 1975 - July 6, 1977
PW SECURITIES, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
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: 10/11/1975
Registered Representative ExaminationCurrent Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
