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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Lacy is a financial advisor registered with Morgan Stanley. Dawn has been in the securities industry since June 1995. Dawn is licensed to provide financial advice in 53 states. Dawn has passed the Series 65 exam and the Series 63 exam. Dawn is also registered to provide investment advice in Texas. Dawn has a wide range of experience, including working with individuals, families, businesses, and institutions. Dawn specializes in asset allocation, portfolio management, and financial planning.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (Austin TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (AUSTIN TX)
TX
06/23/2006 - 04/02/2007
MORGAN STANLEY DW INC. (AUSTIN TX)
TX
05/31/1995 - 06/06/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
IA
Issued 10/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2009
Series 3 - National Commodity Futures Examination
BC
Issued 04/28/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/30/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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