Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Rohde is a financial advisor with Wells Fargo Clearing Services, LLC, located in ST. LOUIS, MO. Dawn has been in the financial industry since 1998 and has a broad range of experience. Dawn holds Series 7, 24, 63, 99TO and SIE licenses. Dawn has worked at Wells Fargo Advisors Financial Network, LLC and FFP Securities, Inc. in the past. Dawn is also an independent contractor providing business continuity planning for small businesses.
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
MO
02/07/2018 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
03/05/2008 - 03/05/2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
08/02/1999 - 03/11/2008
FFP SECURITIES, INC. (CHESTERFIELD MO)
MO
10/01/1998 - 08/17/1999
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
BC
Issued 10/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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