Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Kay Wales is a financial advisor who has been in the industry since 2002. Dawn is currently registered with Cambridge Investment Research Advisors, Inc. and has been with the firm since January 2021. Prior to joining Cambridge Investment Research Advisors, Inc., Dawn was employed by Ameriprise Financial Services, Inc., IDS Life Insurance Company, and Northwestern Mutual Investment Services, LLC. Dawn's experience includes providing financial planning, portfolio management, and other advisory services to individuals, businesses, and charitable organizations. Dawn holds the Series 6, 7, 9, 10, 24, 51, 63 and 66 securities licenses, as well as the SIE and Series 99TO licenses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
IA
01/04/2021 - Present
Cambridge Investment Research Advisors, Inc. (Bettendorf IA)
IA
07/01/2004 - 02/12/2008
AMERIPRISE FINANCIAL SERVICES, INC. (DAVENPORT IA)
MN
07/01/2004 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
WI
03/19/2002 - 03/04/2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BOTH
Issued 10/16/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/28/2005
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 01/10/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2004
Series 7 - General Securities Representative Examination
BC
Issued 02/26/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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