Dawn M. Palo
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.
Dawn M. Palo, who also goes by Dawn M. Palo Cfa, Dawn Marie Palo, Dawn Marie Palosharp, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1991. Dawn had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2016 - October 30, 2019
TWO RIVERS TRADING GROUP LLC
December 1, 2009 - August 22, 2014
BNP PARIBAS SECURITIES CORP.
June 21, 2005 - January 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2005 - January 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2004 - May 16, 2005
GOLDMAN SACHS & CO. LLC
May 3, 2002 - June 24, 2004
BANC OF AMERICA SECURITIES LLC
June 5, 1997 - April 8, 2002
MERRILL LYNCH GOVERNMENT SECURITIES INC.
July 7, 1995 - April 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 1991 - July 26, 1993
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
TWO RIVERS TRADING GROUP LLC
CRD#: 158549 / SEC#: , 8-68907
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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