Theodore E. Dwyer

DWYER FINANCIAL

Flagstaff, AZ 86004

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CRD#: 807724

Professional summary

Theodore Edward Dwyer, CFP®, who also goes by Theodore Edward Dwyer Jr, is a registered financial advisor currently at DWYER FINANCIAL, LLC located in Flagstaff, Arizona.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Theodore has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore Edward Dwyer 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.

INDEPENDENT INSURANCE SALES THROUGH DWYER FINANCIAL. ALSO SERVES AS A BOARD MEMBER AND TREASURER OF THE ARIZONA CENTRAL CREDIT UNION - A NON-PROFIT COOPERATIVE SERVING THE GENERAL BANKING NEEDS OF ITS MEMBERS. I DEVOTE 3 HOURS PER MONTH TO THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Edward Dwyer's 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®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

July 3, 2017 - Present

DWYER FINANCIAL, LLC

Office #1: 2615 N. Fourth St. #5, Flagstaff, AZ 86004

RIA

CRD#: 288470

Flagstaff, AZ

Past

November 16, 2009 - June 30, 2017

R.M. STARK & CO., INC.

CRD#: 7612

FLAGSTAFF, AZ

Past

August 3, 2009 - November 11, 2009

FOOTHILL SECURITIES, INC.

CRD#: 1027

FLAGSTAFF, AZ

Past

April 18, 2006 - November 11, 2009

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

FLAGSTAFF, AZ

Past

January 6, 2003 - August 3, 2009

CUE FINANCIAL GROUP, INC.

CRD#: 21033

FLAGSTAFF, AZ

Past

November 7, 2000 - January 2, 2003

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

November 15, 1994 - November 15, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

March 23, 1990 - November 17, 1994

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 18, 1989 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

July 12, 1988 - August 5, 1989

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 5, 1984 - December 4, 1986

NYLIFE SECURITIES LLC

CRD#: 5167

Past

August 13, 1981 - May 23, 1984

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

CRD#: 3461

Past

May 6, 1975 - February 27, 1978

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/3/2017)

IAR

Texas
(3/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/1992

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/14/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 4/26/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/1994

General Securities Principal Examination

Current Firm

DWYER FINANCIAL, LLC

CRD#: 288470 / SEC#:

Arizona

Registered Investment Advisory firm - (7/3/2017 Approved)

Texas

Registered Investment Advisory firm - (3/20/2023 Conditional Restricted)

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Contact information

Main Address

2615 N. Fourth St. #5, Flagstaff, AZ 86004

Mailing Address

Phone number

(928) 774-7679

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	295
AUM (Assets Under Management)	$ 41,482,723

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.

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Advisor Monitoring

Firm Stability Insights

Theodore E. Dwyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Edward Dwyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

R.M. STARK & CO., INC.

FOOTHILL SECURITIES, INC.

CUE FINANCIAL GROUP, INC.

CUE FINANCIAL GROUP, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES AMERICA, INC.

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

CONSECO FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/1995

Series 63

Date: 8/12/1988

SIE

Date: 6/30/2017

Series 7

Date: 12/23/1992

Series 22

Date: 12/14/1984

Series 1

Date: 4/26/1975

Series 24

Date: 12/8/1994

Current Firm

DWYER FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DWYER FINANCIAL, LLC

TRUST BUT VERIFY

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