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Detailed Report
DWAIN KEITH DUNGEN
Dwain K Dungen
CRD#: 2090827
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Investment Adviser
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Previous Broker
KNIGHTS OF COLUMBUS ASSET ADVISORS LLCCRD#: 174129 Columbus, TX
Registration History
19901995200020052010201520202025IAKNIGHTS OF COLUMBUS ASSET ADVI... (CRD# 174129)2024 - Present (1 year)BLINCOLN FINANCIAL SECURITIES C... (CRD# 3870)2019 - 2022 (2 years)BJEFFERSON PILOT SECURITIES COR... (CRD# 3870)2000 - 2000 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1998 - 2000 (1 year)BJEFFERSON PILOT SECURITIES COR... (CRD# 3870)1998 - 1998 (<1 year)BBERKSHIRE EQUITY SALES, INC. (CRD# 87)1996 - 1998 (1 year)BJEFFERSON-PILOT INVESTOR SERVI... (CRD# 5178)1990 - 1996 (6 years)
License(s)

State Registrations

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Texas 3/5/2024
Current Registration(s)
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KNIGHTS OF COLUMBUS ASSET ADVISORS LLC (CRD#:174129)
Columbus, TX
Registered with this firm since 3/5/2024
Previous Registration(s)
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 04/09/2019 - 03/30/2022 LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870) Columbus, TX
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 04/14/2000 - 12/20/2000 JEFFERSON PILOT SECURITIES CORPORATION (CRD#:3870) FORT WAYNE, IN
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 10/12/1998 - 05/16/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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 02/18/1998 - 10/02/1998 JEFFERSON PILOT SECURITIES CORPORATION (CRD#:3870) FORT WAYNE, IN
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 09/26/1996 - 04/28/1998 BERKSHIRE EQUITY SALES, INC. (CRD#:87) PITTSFIELD, MA
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 09/24/1990 - 10/03/1996 JEFFERSON-PILOT INVESTOR SERVICES, INC. (CRD#:5178) FORT WAYNE, IN
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.