Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Vincent is a financial advisor with Stifel, Nicolaus & Company, Inc. Dawn has been in the industry since 1985. Dawn has a strong background in the financial services industry, having worked with several firms throughout her career.
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.
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.
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2
CA
09/30/2011 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
CA
03/01/1989 - 09/30/2011
STONE & YOUNGBERG LLC (LOS ANGELES CA)
NA
11/23/1985 - 04/07/1988
E. F. HUTTON & COMPANY INC
NA
12/11/1984 - 09/30/1985
FIRST AMERICAN NATIONAL SECURITIES, INC.
BC
Issued 12/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 05/15/1989
Series 52 - Municipal Securities Representative Examination
BC
Issued 12/06/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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