Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn M. Rosa is a financial advisor who has been in the industry since 2001. She is currently registered with LPL Financial LLC. Dawn has experience working with a variety of clients, including individuals, high-net-worth individuals, corporations, and charitable organizations. She is licensed in 22 states and offers a range of financial services, including financial planning, portfolio management, and investment advisory services. Dawn has previously been registered with UVEST FINANCIAL SERVICES GROUP, INC. and WEBSTER INVESTMENT SERVICES, INC.
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.
Consulting and other non-discretionary advisory services
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
CT
07/02/2024 - Present
LPL Financial LLC (WOLCOTT CT)
CT
02/13/2007 - 10/11/2011
UVEST FINANCIAL SERVICES GROUP, INC. (NAUGATUCK CT)
CT
09/07/2001 - 02/13/2007
WEBSTER INVESTMENT SERVICES, INC. (SOUTHBURY CT)
BOTH
Issued 06/23/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/06/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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