Dwight L. Kees

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CRD#: 810234

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 Leroy Kees was a registered financial professional .

Dwight is a previously registered financial professional and started their career in finance in 1975. Dwight had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 4, 2003 - October 2, 2017

AMERICAN WEALTH MANAGEMENT, INC.

RIA

CRD#: 25536

Canton, GA

Past

October 29, 1993 - October 2, 2017

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536

Canton, GA

Past

May 10, 1989 - November 2, 1993

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

January 11, 1984 - June 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 7, 1979 - January 16, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

August 17, 1977 - August 16, 1979

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

July 25, 1975 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536 / SEC#: 801-66163, 8-41807

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/28/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Terminated by SEC on 12/02/2024

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/8/1984

Foreign Currency Options Examination

General Industry/Product Exam

PC

Date: 6/13/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 7/19/1975

General Securities Representative Examination

Current Firm

AMERICAN WEALTH MANAGEMENT, INC.

CRD#: 25536 / SEC#: 801-66163, 8-41807

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/28/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/27/2006 Terminated)

Terminated by SEC on 12/02/2024

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Contact information

Main Address

3480 Preston Ridge Road Suite 500, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 392-8741

Established

Georgia since 11/21/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMERICAN WEALTH MANAGEMENT, INC. (10/1/2025)

Direct owners and executive officers

Name	Position	CRD#
BORZELLO, JEROME AUGUST	CHIEF COMPLIANCE OFFICER/PRES./CFO	801913
BORZELLO, GAVIN MATTHEW	CHIEF AML OFFICER	3242246

Regulatory assets under management

Total Number of Accounts	1,219
AUM (Assets Under Management)	$ 309,865,000

Disclosures

Regulatory Event	6
Arbitration	1

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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Firm Stability Insights

Dwight L. Kees

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN WEALTH MANAGEMENT, INC.

WACHOVIA SECURITIES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

LEHMAN BROTHERS KUHN LOEB INCORPORATED

THOMSON MCKINNON SECURITIES INC.

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

AMERICAN WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1992

Series 63

Date: 9/28/1979

SIE

Date: 10/2/2017

Series 15

Date: 5/8/1984

PC

Date: 6/13/1977

Series 7

Date: 7/19/1975

Current Firm

AMERICAN WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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