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Dawn Dorothy Edwards

CRD# 1640946·Registered 1991 - 2015
Previously Registered: Being a previously registered professional could mean that Dawn 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.

Professional Summary

Dawn Dorothy Edwards was a registered financial advisor. Dawn was a previously registered financial professional and started their career in finance 1991 - 2015. Dawn had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

BENDIGO SECURITIES, LLC·CRD# 152529
BD
New York, NY
July 23, 2013 - April 8, 2015
MISSION CAPITAL LLC·CRD# 148006
BD
New York, NY
November 13, 2012 - July 24, 2013
KOTA GLOBAL SECURITIES INC.·CRD# 28137
BD
New York, NY
November 30, 2010 - April 17, 2012
THE WILLIAMS CAPITAL GROUP, L.P.·CRD# 35149
BD
Westport, CT
June 17, 2010 - November 1, 2010
ALTRUSHARE SECURITIES LLC·CRD# 136392
BD
Manchester, VT
March 20, 2006 - November 3, 2009
COWEN EXECUTION SERVICES LLC·CRD# 35693
BD
New York, NY
May 31, 2000 - March 14, 2006
GLOBAL EXECUTION NETWORK ASSOCIATES INCORPORATED·CRD# 28518
BD
Briarcliff Manor, NY
June 27, 1997 - May 31, 2000
LAZARD FRERES & CO. LLC·CRD# 2528
BD
New York, NY
June 25, 1991 - March 24, 1997

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Current Firm

BS
BENDIGO SECURITIES, LLC

BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: 8-68462
BD
Terminated by SEC on 11/28/2015

Contact Information

Established

Delaware since 10/21/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CROWD CLEAR INC.SOLE OWNER—
KATZ, MICHAEL RONALDCHIEF COMPLIANCE OFFICER & AML873982
KATZ, MICHAEL RONALDCOO873982
REYES, CHRISTOPHER VALENTINFINOP2105804
TAYLOR, RICHARD DAVIDCEO4944380

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1989About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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