Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn McLaughlin is a registered investment advisor with RBC Capital Markets, LLC. Dawn has been working in the financial services industry since 1987. Dawn holds several licenses and certifications including Series 7, 63, 65, 52TO, and SIE. Dawn has worked with a variety of firms throughout their career including WELLS FARGO ADVISORS, LLC, PRUDENTIAL SECURITIES INCORPORATED, TRADESTAR INVESTMENTS, INC., CHARLES SCHWAB & CO., INC., and FIRST CHICAGO NBD INVESTMENT SERVICES, INC. Dawn is currently registered in Indiana and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
IN
07/23/2009 - Present
RBC Capital Markets, LLC (INDIANAPOLIS IN)
IN
07/01/2003 - 07/23/2009
WELLS FARGO ADVISORS, LLC (INDIANAPOLIS IN)
NY
04/27/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
03/02/1998 - 07/30/1999
TRADESTAR INVESTMENTS,INC. (HOUSTON TX)
TX
11/13/1997 - 03/11/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IL
04/01/1996 - 09/16/1997
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
NA
02/25/1988 - 04/01/1996
NBD BROKERAGE SERVICES, INC.
NA
07/09/1987 - 02/22/1988
BANC ONE SECURITIES, INC.
NA
09/29/1986 - 06/11/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 08/22/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/02/1990
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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