Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Capozzi is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Dawn has been in the securities industry since 2011 and has a broad range of experience in providing investment advice. Dawn is a licensed investment advisor representative in New Jersey, and holds the Series 7, 10, 24, 63 and 65 licenses. She is currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. in Pennington, New Jersey, where she specializes in portfolio management for individuals and businesses. Dawn is committed to providing her clients with personalized financial advice and services that meet their individual needs.
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
NJ
04/28/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
IA
Issued 04/27/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2011
Series 7 - General Securities 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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