Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Dawley is a financial advisor with RBC Capital Markets, LLC, based in Los Angeles, CA. Gregory has over 24 years of experience in the financial services industry and is registered to provide investment advice in California and Massachusetts. Gregory is also a Series 24, Series 53, Series 52TO, Series 79TO, SIE, and Series 7 licensed principal. Gregory specializes in providing financial advice to individuals, corporations, and institutions. Previous employers include Morgan Stanley & Co. LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC One Capital Markets, Inc., and J.P. Morgan Securities Inc.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
05/21/2015 - Present
RBC Capital Markets, LLC (LOS ANGELES CA)
CA
06/24/2008 - 05/26/2015
MORGAN STANLEY & CO. LLC (LOS ANGELES CA)
CA
06/02/2003 - 05/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
IL
05/23/2001 - 05/19/2003
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
NY
02/17/1998 - 04/28/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 08/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2015
Series 24 - General Securities Principal Examination
BC
Issued 08/25/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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