Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Sally Thome has been in the financial industry since December 1995. Dawn is currently registered with Fidelity Brokerage Services LLC. Prior to working with Fidelity Brokerage Services LLC, Dawn was with Associated Investment Services, Inc., Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., Deutsche Bank Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Union Securities, Inc., ABN AMRO Incorporated, Bear, Stearns & Co. Inc. and Hamilton Investments, Inc. Dawn is licensed to sell securities in 53 states and the District of Columbia.
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.
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2
KY
05/23/2023 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
IL
02/27/2018 - 04/18/2023
ASSOCIATED INVESTMENT SERVICES, INC. (CHICAGO IL)
IL
06/05/2014 - 02/14/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CHICAGO IL)
IL
08/16/2010 - 03/07/2014
STERNE, AGEE & LEACH, INC. (LISLE IL)
IL
04/30/2007 - 08/02/2010
DEUTSCHE BANK SECURITIES INC. (CHICAGO IL)
IL
09/27/2000 - 04/24/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
MO
04/05/1999 - 08/18/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
CT
04/12/1996 - 03/08/1999
ABN AMRO INCORPORATED (STAMFORD CT)
NY
02/05/1996 - 04/10/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
TX
09/01/1994 - 01/23/1996
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NA
04/29/1994 - 09/01/1994
HAMILTON INVESTMENTS, INC.
BOTH
Issued 11/15/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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