Robert H. Dawson
Professional summary
Robert Howard Dawson, who also goes by Robert H. Dawson Jr, Robert Howard Dawson, Robert H Dawson, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 13 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Howard Dawson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2022 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606February 8, 2021 - November 15, 2021
HARRISDIRECT LLC
January 28, 2021 - November 15, 2021
E*TRADE SECURITIES LLC
November 21, 2019 - December 21, 2020
MML INVESTORS SERVICES, LLC
October 22, 2019 - December 21, 2020
MML INVESTORS SERVICES, LLC
November 29, 2018 - September 27, 2019
MORGAN STANLEY
October 24, 2018 - September 27, 2019
MORGAN STANLEY
October 19, 2016 - October 15, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2015 - June 1, 2016
ADVANTAGE SECURITIES LLC
September 15, 2006 - July 26, 2013
NEWEDGE USA, LLC
July 29, 2005 - November 17, 2005
REFCO SECURITIES, LLC
February 23, 2004 - December 9, 2004
MEMPHIS CAPITAL
June 15, 1998 - April 3, 2002
CREDIT SUISSE SECURITIES (USA) LLC
December 5, 1996 - May 20, 1998
UBS SECURITIES LLC
March 25, 1987 - July 19, 1996
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
