John Dwyer has been Chief Compliance Officer of Alan B. Lancz & Associates since October 2025, is not listed as a control person, but directly owns under 5% of the firm.
Alan B. Lancz & Associates, Inc. is a Toledo, OH firm with $175M under management, 101 clients and 1 adviser in one office, as of its March 2026 filing.
No adviser firm registrations are on John Dwyer’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 3 October 2014 |
| Series 7 | General Securities Representative Examination | 19 March 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 February 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 January 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Keith Dwyer
- CRD
- 2551964
- Firm
- Alan B. Lancz & Associates · CRD 105363
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does John Dwyer work?
John Dwyer has been Chief Compliance Officer of Alan B. Lancz & Associates, Inc. since October 2025.
Does John Dwyer have a current investment-adviser registration?
John Dwyer has no current investment-adviser or broker registration.
What exams has John Dwyer passed?
John Dwyer has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 24. The earliest, the Series 6, was passed in January 2008. FINRA credited John Dwyer with the SIE, which began in October 2018.
Is John Dwyer registered with FINRA?
No. John Dwyer has no current broker registration.
How can I verify John Dwyer’s record?
Search CRD 2551964 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Dwyer’s full registration record.