Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Renee Allen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Walnut Creek, CA. Dawn has been in the financial industry since 2003 and has extensive experience working with a variety of clients, including individuals, corporations, and institutions. Dawn holds a Series 7, Series 63, and Series 66 license. She is also registered as an investment advisor representative in California and Texas. In addition to providing investment advice, Dawn also offers a variety of other financial services, including financial planning, portfolio management, and retirement 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
12/16/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CA
06/01/2009 - 05/05/2011
MORGAN STANLEY SMITH BARNEY (WALNUT CREEK CA)
CA
09/07/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WALNUT CREEK CA)
NY
09/26/2003 - 09/08/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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