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Joan Leslie Dawe

Bbva Securities Inc.

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About Joan Leslie Dawe

Joan Leslie Dawe is a financial advisor who has been in the industry since 1993. Joan holds the Series 6, 7, 24, 57TO, and 63 licenses and has worked for several major firms, including Fidelity Brokerage Services, Inc., Citigroup Securities, Inc., J.P. Morgan Securities Inc., and UBS Securities LLC. Joan is currently registered with Bbva Securities Inc. and is licensed in New York.

Firm Information

Joan Dawe is currently registered with Bbva Securities Inc.. BBVA Securities Inc. is a corporation that was formed on March 13, 1990. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

104

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Joan Dawe’s Registration & Firm History

NY

06/21/2024 - Present

Bbva Securities Inc. (NEW YORK NY)

NY

06/02/2010 - 01/04/2024

UBS SECURITIES LLC (NEW YORK NY)

NY

10/01/2008 - 06/03/2010

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/27/2003 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

10/26/1999 - 11/12/2002

LEHMAN BROTHERS INC. (NEW YORK NY)

RI

08/14/1998 - 10/22/1999

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

NY

10/02/1991 - 07/14/1997

CITICORP SECURITIES, INC. (NEW YORK NY)

TX

02/22/1989 - 06/13/1989

VAN KAMPEN MERRITT INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 05/28/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/06/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/01/1991

Series 7 - General Securities Representative Examination

BC

Issued 06/14/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joan Leslie Dawe.
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