Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Elizabeth Cote is a financial advisor with over 28 years of experience in the industry. Dawn is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously been registered with Legg Mason Wood Walker, Incorporated, Tucker Anthony Incorporated, BT Alex. Brown Incorporated, Alex. Brown & Sons Incorporated, and T. Rowe Price Investment Services, Inc. Dawn holds Series 6, 7, 9, 10, 31, and 66 licenses and a SIE certification. Dawn is a dedicated financial professional and is committed to helping clients 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
MD
01/23/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
MD
08/30/2001 - 10/11/2002
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MA
06/04/1999 - 04/02/2001
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MD
09/01/1997 - 05/26/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
05/22/1995 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
MD
05/12/1993 - 04/12/1995
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
BOTH
Issued 06/08/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/27/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1994
Series 7 - General Securities Representative Examination
BC
Issued 05/11/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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