Dwight E. Fizer
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 Eugene Fizer was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1996. Dwight had worked at 2 firms and has passed the Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1997 - February 27, 1998
SIERRA BROKERAGE SERVICES, INC.
August 2, 1996 - December 6, 1996
MULTIPLAN INVESTMENTS, 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
SIERRA BROKERAGE SERVICES, INC.
CRD#: 36573 / SEC#: , 8-47414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHARDSON, JEFFREY ALLEN | PRESIDENT/HEAD TRADER | 736249 |
| TROWBRIDGE, JAMES MAURICE | DIRECTOR | 2496467 |
| MACTIR INTERNATIONAL | SHAREHOLDER | |
| MCCAMEY, JOHN CHRISTOPHER | SHAREHOLDER | 1837728 |
| PAMULAPATI, JITHENDER | SHAREHOLDER | 2074713 |
| MCAULIFFE, JANE A | SHAREHOLDER | 2521230 |
| ECKSTEIN, BRIAN KEITH | CHIEF FINANCIAL OFFICER | 4270845 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
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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