Dewayne NelsonCRD Number: 3037041
Current Firm: Lwi Financial Inc.
Dewayne Nelson (CRD# 3037041) is an Investment Advisor Representative working at Lwi Financial Inc. in Phoenix, AZ and has over 19 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Barnes Investment Advisory Inc.
|Loring Ward Securities Inc.||San Jose, CA||Oct 2009 - Current||7|
|Geneos Wealth Management Inc.||Dallas, TX||Mar 2008 - Oct 2009||1|
|Oberlin Financial Corp||Bryan, OH||Aug 2004 - Mar 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1998|
|S66||NASAA Uniform Combined State Law Examination||Jan 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management13,062MILLIONS
Total Number of Accounts52,336ACCOUNTS
Average Account Value$249,573
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV