Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christine? Claim Your ProfileChristine Marie Dawly is a financial advisor with over 20 years of experience in the industry. Christine has worked with Raymond James & Associates, Inc. since June 2023. Prior to that, Christine worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Allied Securities, Inc., LINS CO/Private Ledger Corp., and Bear, Stearns & Co. Inc. Christine is licensed in California as a Registered Representative and Investment Advisor Representative. Christine specializes in providing financial planning, portfolio management, and pension consulting services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
06/30/2023 - Present
Raymond James & Associates, Inc. (Laguna Niguel CA)
CA
09/08/2006 - 06/29/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
08/24/2005 - 08/22/2006
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
SC
12/07/2004 - 08/02/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
03/09/2001 - 11/09/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/22/2000 - 02/28/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
02/21/2000 - 09/01/2000
IMPERIAL CAPITAL, LLC (LOS ANGELES CA)
BOTH
Issued 09/22/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/09/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/02/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2009
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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