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 Dudek is a financial advisor who is currently registered with Wells Fargo Clearing Services, LLC. Dawn has been in the financial services industry since 2012 and has experience with a variety of financial products and services. Dawn holds a variety of licenses, including Series 7, 9, 10, 66, 99, SIE, and 99TO. Dawn previously worked for Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC. Dawn is also licensed to conduct business in the state of Missouri.
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.
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.
Investment consulting services to institutional clients
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
MO
03/01/2023 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
04/26/2018 - 01/31/2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
05/13/2014 - 01/31/2020
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MO
04/04/2012 - 11/16/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
BOTH
Issued 04/12/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/24/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/01/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/03/2012
Series 99 - Operations Professional Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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