Dwain Keith Dungen

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