Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Marie Maxwell is a financial advisor registered with SG Americas Securities, LLC. Dawn has been in the securities industry since 1988. Dawn holds Series 3, 4, 7, 24, 53, 63, and SIE licenses, and has been registered in all 50 states and the District of Columbia since 2015. Dawn was previously registered with UBS Financial Services Inc., UBS Securities LLC, Republic New York Securities Corporation, and Lehman Brothers 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.
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.
1
2
NY
08/05/2015 - Present
SG Americas Securities, LLC (NEW YORK NY)
NJ
07/18/1997 - 08/06/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/21/2002 - 05/01/2015
UBS SECURITIES LLC (NEW YORK NY)
NY
10/27/1992 - 08/21/1995
REPUBLIC NEW YORK SECURITIES CORPORATION (NEW YORK NY)
NY
05/21/1986 - 03/18/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 06/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2007
Series 4 - Registered Options Principal Examination
BC
Issued 05/30/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/15/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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