Dwain Pickens, financial advisor Prescott AZ
51 score

Dwain Pickens

CRD Number: 3038237
Current Firm: Pickens Financial Group, Inc.

Dwain Pickens (CRD# 3038237) is an Investment Advisor Representative working at Pickens Financial Group, Inc. in Prescott, AZ and has over 20 years of experience in the finance industry. Dwain Pickens has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Pickens Financial Group, Inc. Prescott, PA Dec 1997 - Current 20
Dwain D. Pickens Pllc Prescott, AZ Dec 1997 - Current 20
Brokers International Financial Services LLC Panora, IA Oct 2011 - Jul 2015 3
Linsco Private Ledger Scottsdale, AZ Aug 2001 - Sep 2011 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
Disclosure Information

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:
  • Employer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Dwain D. Pickens
Phone Number: 928-778-1788
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States


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