Dawn Bennett
Professional summary
Dawn Bennett was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dawn is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Dawn had worked at 6 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., BENNETT GROUP FINANCIAL SERVICES LLC, OSAIC WEALTH INC., CITIGROUP GLOBAL MARKETS INC., LEGG MASON WOOD WALKER INCORPORATED, FIRST UNION CAPITAL MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2014 - November 25, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
October 1, 2009 - December 1, 2015
WESTERN INTERNATIONAL SECURITIES, INC.
January 1, 2008 - September 6, 2013
BENNETT GROUP FINANCIAL SERVICES, LLC
April 4, 2006 - October 7, 2009
OSAIC WEALTH, INC.
February 21, 2006 - February 24, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - February 24, 2006
CITIGROUP GLOBAL MARKETS INC.
February 16, 2006 - October 7, 2009
OSAIC WEALTH, INC.
September 15, 1997 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
August 22, 1996 - February 23, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 10, 1987 - August 30, 1996
FIRST UNION CAPITAL MARKETS CORP.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
