Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Pfirman is a financial advisor at Wells Fargo Clearing Services, LLC. Dawn has been in the industry since 1998 and is registered with FINRA and the state of New Jersey. Dawn has a wide range of experience in the financial services industry, including investment advisory, brokerage, and investment banking. Dawn's current focus is on providing investment advisory services to individuals and businesses. Dawn is committed to providing her clients with personalized service and investment advice that is tailored to 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
07/28/2022 - Present
Wells Fargo Clearing Services, LLC (MARLTON NJ)
NJ
10/01/2000 - 07/26/2021
WELLS FARGO CLEARING SERVICES, LLC (VINELAND NJ)
NC
10/15/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 05/04/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/14/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/28/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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