Jo P. 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.
Jo Pamela Dawson, who also goes by Jo Dawson, Pamela Deegan, Jo Pamela Dawson, J Pamela Rossi, Pamela Rossi, J Pamela Stone, Jo Pamela Stone, was a registered financial professional .
Jo is a previously registered financial professional and started their career in finance in 1988. Jo had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2018 - June 29, 2018
CUSO FINANCIAL SERVICES, L.P.
March 16, 2018 - June 29, 2018
CUSO FINANCIAL SERVICES, L.P.
April 28, 2010 - July 18, 2017
RUSSELL INVESTMENTS
April 28, 2010 - July 18, 2017
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 27, 2009 - April 1, 2010
U.S. BANCORP INVESTMENTS, INC.
May 19, 2009 - April 1, 2010
U.S. BANCORP INVESTMENTS, INC.
May 1, 2003 - February 26, 2009
COREBRIDGE CAPITAL SERVICES, INC.
November 18, 2002 - May 6, 2003
AMERICAN GENERAL DISTRIBUTORS, INC.
October 2, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - July 18, 2001
WAMU INVESTMENTS, INC.
January 13, 1997 - July 14, 1997
ASB FINANCIAL SERVICES
August 19, 1996 - January 4, 1997
WELLS FARGO SECURITIES INC.
September 8, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 24, 1994 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
June 14, 1993 - September 30, 1993
CETERA INVESTMENT SERVICES LLC
January 20, 1993 - March 8, 1993
FIRST UNION BROKERAGE SERVICES, INC.
August 22, 1990 - January 28, 1993
INVEST FINANCIAL CORPORATION
May 9, 1988 - May 2, 1990
CAPITAL BROKERAGE CORPORATION
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
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
