Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Kami Charmatz is an investment professional with over 20 years of experience in the financial services industry. Dawn has a broad range of experience, working with various firms including Lehman Brothers Inc., UBS Financial Services Inc., Barclays Capital Inc., AXA Advisors, LLC, PFS Investments Inc., and Royal Alliance Associates, Inc. Dawn currently works as an investment advisor representative for Morgan Stanley. Dawn is registered to provide investment advice in 36 states and the District of Columbia. Dawn specializes in providing financial planning, portfolio management, and asset allocation advice to high-net-worth individuals, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
10/05/2022 - Present
Morgan Stanley (Melville NY)
VA
01/20/2022 - 08/26/2022
ROYAL ALLIANCE ASSOCIATES, INC. (VIENNA VA)
NY
03/01/2019 - 01/21/2022
PFS INVESTMENTS INC. (GREAT NECK NY)
NY
08/31/2017 - 03/05/2018
AXA ADVISORS, LLC (WOODBURY NY)
NY
07/22/2015 - 09/01/2017
PFS INVESTMENTS INC. (GREAT NECK NY)
NY
09/22/2008 - 08/28/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/24/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
08/17/1999 - 02/06/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 09/13/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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