Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Williamson Lucy has been in the financial services industry for over 18 years. Dawn is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advice in Alabama and Texas. Previously, Dawn was a registered representative with Edward Jones, Fidelity Brokerage Services LLC, and PNC Investments. Dawn has passed the Series 6, 7, 63, and 66 examinations.
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
AL
10/30/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GADSDEN AL)
AL
07/24/2020 - 09/26/2023
FIDELITY BROKERAGE SERVICES LLC (BIRMINGHAM AL)
AL
07/06/2018 - 07/02/2020
EDWARD JONES (SOUTHSIDE AL)
KY
11/09/2006 - 04/20/2009
PNC INVESTMENTS (LOUISVILLE KY)
AL
06/13/2005 - 06/20/2006
AMSOUTH INVESTMENT SERVICES, INC. (FORT PAYNE AL)
BOTH
Issued 08/03/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/08/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/10/2005
Series 6 - Investment Company Products/Variable Contracts 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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