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Dawn Marie Federici

Purshe Kaplan Sterling Investments

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About Dawn Marie Federici

Dawn Federici is a financial professional with over 20 years of experience in the industry. Dawn currently works at Purshe Kaplan Sterling Investments, a firm located in Portland, OR. Dawn is a Series 7, Series 8, Series 63, and SIE licensed professional with an Operations Professional Examination. Previously, Dawn was registered with Raymond James Financial Services, Inc., LPL Financial LLC, FSC Securities Corporation, Walnut Street Securities, Inc., Sutro & Co. Incorporated, Charter Investment Group, Inc., and Smith Barney Inc. Dawn is licensed in Oregon.

Firm Information

Dawn Federici is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Dawn Federici’s Registration & Firm History

OR

04/18/2023 - Present

Purshe Kaplan Sterling Investments (Portland OR)

OR

10/18/2019 - 04/26/2023

RAYMOND JAMES FINANCIAL SERVICES, INC. (PORTLAND OR)

OR

03/11/2014 - 11/04/2019

LPL FINANCIAL LLC (PORTLAND OR)

OR

10/02/2013 - 10/25/2013

FSC SECURITIES CORPORATION (LAKE OSWEGO OR)

OR

02/07/2002 - 09/10/2012

WALNUT STREET SECURITIES, INC. (BEAVERTON OR)

CA

02/03/1999 - 07/18/2000

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

OR

10/23/1997 - 02/08/1999

CHARTER INVESTMENT GROUP, INC. (PORTLAND OR)

NY

02/12/1997 - 09/29/1997

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/07/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/10/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 04/18/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dawn Marie Federici.
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