Dwain Keith Dungen

Employer firm

Knights Of Columbus Asset Advisors LLC CRD 174129

$30.5B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Knights Of Columbus Asset Advisors Llc

One Columbus Plaza, New Haven, CT 06510 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-03-05

TX RA
APPROVED

Since 2024-03-05

Branch Locations

Columbus, TX • United States

One Columbus Plaza, New Haven, CT 06510 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Knights Of Columbus	Columbus	TX	03/2011	02/2019
Lincoln Financial Securities	Columbus	TX	02/2019	04/2022
Texas Farm Bureau	Columbus	TX	04/2022	12/2023
Knights Of Columbus	Columbus	TX	12/2023	Present

03/2011 → 02/2019

Knights Of Columbus

Columbus, TX
02/2019 → 04/2022

Lincoln Financial Securities

Columbus, TX
04/2022 → 12/2023

Texas Farm Bureau

Columbus, TX
12/2023 → Present

Knights Of Columbus

Columbus, TX

Other Businesses

Knights of Columbus Insurance, non-investment related, life insurance, Field Agent, Selling life insurance, long term care, disability income and annuities, Start Date: (12/2023), 80 hours a month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-01-18
S63	Uniform Securities Agent State Law Examination	2019-05-10

S65 Uniform Investment Adviser Law Examination

2024-01-18
S63 Uniform Securities Agent State Law Examination

2019-05-10

Other Names

Dwain Keith Dungen
Dwain K Dungen

View on SEC IAPD