Dwain PickensCRD 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 19 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.
Yavapai Financial Planning, LLC
Royal Alliance Associates, Inc.
First Affirmative Financial Network LLC
|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|
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
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Selection of other advisers (including private fund managers)