Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dwayne? Claim Your ProfileDwayne Samboy is a financial advisor with Arete Wealth Management, LLC. Dwayne has been in the industry since November 6, 2003. Dwayne holds FINRA Series 4, 7, 24, 63, 79TO, 87 and SIE licenses. Dwayne is registered in 51 states and the District of Columbia. Dwayne was previously registered with National Securities Corporation and Continental Broker-Dealer Corp.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
FL
07/20/2022 - Present
Arete Wealth Management, LLC (Sunrise FL)
FL
02/09/2010 - 07/20/2022
NATIONAL SECURITIES CORPORATION (MIAMI FL)
NY
09/23/2005 - 03/10/2008
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
FL
01/20/2004 - 08/01/2005
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
10/15/2001 - 01/29/2004
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BC
Issued 10/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/2011
Series 4 - Registered Options Principal Examination
BC
Issued 02/14/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/03/2024
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/25/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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