Thomas N. Dawson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Nelson Dawson III, who also goes by Thomas Nelson Dawson, Tom Dawson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 1995 - July 16, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 29, 1993 - October 18, 1994
INVESTORS ASSOCIATES, INC.
June 6, 1991 - March 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1985 - May 20, 1991
MORGAN STANLEY DW INC.
April 4, 1985 - October 16, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1984 - March 8, 1985
RICHARDSON GREENSHIELDS SECURITIES 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
Exams
Current Firm
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
CRD#: 5178 / SEC#: , 8-15753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | PARENT COMPANY | |
| CAMPBELL, DELSON ROBERT | VICE PRESIDENT, DIRECTOR | 2165812 |
| COUTTS, JEFFREY DOUGLAS | SENIOR VICE PRESIDENT, TREASURER, DIRECTOR | |
| ELDER, KENNETH J. | AML OFFICER | 5949626 |
| GOULD, PAUL NOBLE | ASSISTANT VICE PRESIDENT | 3073375 |
| KLOUDA, MAUREEN ANN | COMPLIANCE MANAGER | 1159259 |
| KROLL, BRIAN ANTHONY | PRESIDENT, DIRECTOR | 5910026 |
| PAWSAT, CARL RAYMOND | INTERIM CHIEF FINANCIAL AND OPERATIONS PRINCIPAL | 6133845 |
| SAMPLATSKY, LAWRENCE A | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 4268260 |
| SKARIE, BRADLEY RAY | ASSISTANT VICE PRESIDENT | 2844865 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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