Unclaimed Profile

Donald Gene Dewaay

DEWAAY CAPITAL MANAGEMENT, INC.·WEST DES MOINES, Iowa

Series 6, Series 7, Series 22, Series 24, Series 31, Series 6327 years registeredDEWAAY CAPITAL MANAGEMENT, INC.

1355 50TH STREET, WEST DES MOINES, IA 50266-1619CRD# 1297174Firm CRD# 116214

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Donald Gene Dewaay · WEST DES MOINES, IA

Registration

CRD #1297174 · DEWAAY CAPITAL MANAGEMENT, INC. · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DEWAAY CAPITAL MANAGEMENT, INC.

DEWAAY ADVISORY

Feb 2011 – Mar 2012

CLIVE, IA

DEWAAY CAPITAL MANAGEMENT

Aug 1999 – Aug 2017

WEST DES MOINES, IA

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 22

Series 24

Series 31

Series 63

Registration record

First registered · August 2, 1999

Years registered · 27

Disclosure History

2017Regulatory·Final

2016Customer Dispute·Award / Judgment

2013Regulatory·Final

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, limited to the records FINRA BrokerCheck displays, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

DEWAAY CAPITAL MANAGEMENT, INC.

CRD 116214 · SEC 801-61161

AUM

$38M

Regulatory assets under management

Employees

300 client accounts

Services offered by DEWAAY CAPITAL MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at DEWAAY CAPITAL MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Donald Gene Dewaay offer?

Donald Gene Dewaay specializes in Financial Planning, Investment Management.

What are Donald Gene Dewaay's credentials?

Donald Gene Dewaay is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Donald Gene Dewaay located?

Donald Gene Dewaay is based in WEST DES MOINES, Iowa, last registered with DEWAAY CAPITAL MANAGEMENT, INC..

How does Donald Gene Dewaay charge for services?

Donald Gene Dewaay's firm is compensated through percentage of aum, hourly charges, subscription fees, other: share in third party advisory fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DEWAAY CAPITAL MANAGEMENT, INC.?

DEWAAY CAPITAL MANAGEMENT, INC. has approximately 2 employees and manages $38M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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