Randal W. 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.
Randal Wayne Dawson, who also goes by Randy Wayne Dawson, Randy Dawson, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1985. Randal had worked at 8 firms and has passed the Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 1996 - March 19, 1997
LLAMA COMPANY
July 10, 1995 - December 16, 1995
TDI, INCORPORATED
December 15, 1994 - May 9, 1995
H.J. MEYERS & CO., INC.
September 15, 1994 - September 22, 1994
MERIDIAN SECURITIES, INC.
July 18, 1990 - February 23, 1994
GSC SECURITIES, INC.
July 18, 1990 - February 23, 1994
GOVERNMENT SECURITIES CORPORATION
September 27, 1988 - May 22, 1990
THE STUART-JAMES COMPANY, INCORPORATED
August 2, 1988 - October 5, 1988
UNION EXCHANGE SECURITIES, INCORPORATED
July 24, 1985 - August 16, 1988
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LLAMA COMPANY
CRD#: 22440 / SEC#: , 8-39836
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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