Dawn M. Trammell

ROBERTSON INVESTMENT MANAGEMENT

Houston, TX 77056

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CRD#: 1584606

Professional summary

Dawn Moore Trammell, who also goes by Daphene Dawn Moore Trammell, is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas.

Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Dawn has worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daphene Dawn Moore Trammell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

***HOWARD CO. POSITION: none NATURE: oil produce income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/26/1999 ADDRESS: 3575 hunters glen rd, abilene TX 79605 DESCRIPTION: none ***Robertson Wealth Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Moore Trammell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 5, 2018 - Present

ROBERTSON INVESTMENT MANAGEMENT

Office #1: 5120 Woodway Suite 9029, Houston, TX 77056

RIA

CRD#: 115425

Houston, TX

Past

June 14, 2024 - January 27, 2025

OSAIC WEALTH, INC.

CRD#: 23131

ABILENE, TX

Past

December 2, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

ABILENE, TX

Past

August 25, 2015 - November 22, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

ABILENE, TX

Past

August 25, 2015 - November 22, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ABILENE, TX

Past

August 1, 2014 - September 14, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

STEPHENVILLE, TX

Past

August 1, 2014 - September 14, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

STEPHENVILLE, TX

Past

July 2, 2012 - August 20, 2014

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

ABILENE, TX

Past

March 17, 1995 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

ABILENE, TX

Past

March 17, 1995 - August 7, 2014

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ABILENE, TX

Past

July 18, 1990 - February 16, 1995

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

September 15, 1989 - June 29, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 26, 1986 - September 16, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/30/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/14/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

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Contact information

Main Address

919 Milam St Suite 500, Houston, TX 77002

Mailing Address

Phone number

(713) 622-4077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	779
AUM (Assets Under Management)	$ 273,053,474

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Colorado	ERA - Withdrawn	12/22/2020
Louisiana	ERA - Withdrawn	12/22/2020

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.

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Firm Stability Insights

Dawn M. Trammell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Moore Trammell's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

ROBERTSON INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/1986

SIE

Date: 10/1/2018

Series 3

Date: 7/14/1987

Series 7

Date: 12/20/1986

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ROBERTSON INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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