Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Maddox is a registered investment advisor representative with over 20 years of experience in the financial services industry. Dawn has been with Raymond James & Associates, Inc. since 2015. Before that, Dawn was with PNC Investments and Invest Financial Corporation. Dawn holds the Series 7, Series 63, and Series 65 licenses. Dawn's specializations include: portfolio management for individuals, portfolio management for businesses, financial planning, pension consulting, educational seminars, and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
DE
06/18/2015 - Present
Raymond James & Associates, Inc. (WILMINGTON DE)
DE
01/10/2007 - 06/19/2015
PNC INVESTMENTS (WILMINGTON DE)
DE
04/05/2004 - 12/05/2006
INVEST FINANCIAL CORPORATION (WILMINGTON DE)
PA
01/01/2004 - 03/08/2004
PNC INVESTMENTS (PITTSBURGH PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
02/04/1999 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
AZ
09/10/1998 - 02/05/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
FL
03/13/1996 - 08/19/1998
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
IA
Issued 10/15/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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