Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Aglae Spaulding is a registered representative and investment advisor representative with Principal Securities, Inc. Dawn has been in the securities industry since September 12, 1997. Dawn is licensed in 51 states and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Dawn has a broad range of experience in the financial services industry and is committed to providing her clients with personalized financial advice. Dawn offers a variety of financial services to her clients, including financial planning, portfolio management, and investment advisory services. Dawn is a valuable resource for her clients and is dedicated to helping them achieve their financial goals.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
FL
05/24/2023 - Present
Principal Securities, Inc. (SAINT CLOUD FL)
FL
01/19/2010 - 07/28/2015
CHARLES SCHWAB & CO., INC. (ORLANDO FL)
FL
10/04/1996 - 03/16/2009
FIDELITY BROKERAGE SERVICES LLC (ALTAMONTE SPRINGS FL)
IA
Issued 02/26/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/04/2019
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 06/25/2018
Series 24 - General Securities Principal Examination
BC
Issued 09/18/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/05/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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