JD
Joan L. Dawe
ING FINANCIAL MARKETS
New York, NY 10036
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CRD#: 1843658
JD
Professional summary
Joan Leslie Dawe, who also goes by J Leslie Dawe, Leslie Leslie Dawe, Joan Leslie Jackson, is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.
Joan is registered as a RR (Registered Representative) and started their career in finance in 1989. Joan has worked at 9 firms and has passed the Series 63, Series 6TO, Series 57TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
J Leslie Dawe | Leslie Leslie Dawe | Joan Leslie Jackson
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.
CRS (Client Relationship Summary) - BD
Click below to view Joan Leslie Dawe's 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®
NoneExperience
Current
July 7, 2025 - Present
ING FINANCIAL MARKETS LLC
Office #1: 1133 Avenue Of The Americas, New York, NY 10036BD
CRD#: 28872
New York, NY
Past
June 21, 2024 - March 18, 2025
BBVA SECURITIES INC.
BD
CRD#: 27060
NEW YORK, NY
Past
June 2, 2010 - January 4, 2024
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 1, 2008 - June 3, 2010
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 27, 2003 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
October 26, 1999 - November 12, 2002
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 14, 1998 - October 22, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 2, 1991 - July 14, 1997
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Past
February 22, 1989 - June 13, 1989
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/7/2025)
RR
Alaska(7/7/2025)
RR
Arizona(7/7/2025)
RR
Arkansas(7/7/2025)
RR
California(7/7/2025)
RR
Colorado(7/7/2025)
RR
Connecticut(7/7/2025)
RR
Delaware(7/7/2025)
RR
District of Columbia(7/7/2025)
RR
Florida(7/7/2025)
RR
Georgia(7/7/2025)
RR
Hawaii(7/7/2025)
RR
Idaho(7/7/2025)
RR
Illinois(7/7/2025)
RR
Indiana(7/7/2025)
RR
Iowa(7/7/2025)
RR
Kansas(7/7/2025)
RR
Kentucky(7/7/2025)
RR
Louisiana(7/7/2025)
RR
Maine(7/7/2025)
RR
Maryland(7/7/2025)
RR
Massachusetts(7/7/2025)
RR
Michigan(7/7/2025)
RR
Minnesota(7/7/2025)
RR
Mississippi(7/7/2025)
RR
Missouri(7/7/2025)
RR
Montana(7/7/2025)
RR
Nebraska(7/7/2025)
RR
Nevada(7/7/2025)
RR
New Hampshire(7/7/2025)
RR
New Jersey(7/7/2025)
RR
New Mexico(7/7/2025)
RR
New York(7/7/2025)
RR
North Carolina(7/7/2025)
RR
North Dakota(7/7/2025)
RR
Ohio(7/10/2025)
RR
Oklahoma(7/7/2025)
RR
Oregon(7/7/2025)
RR
Pennsylvania(7/7/2025)
RR
Puerto Rico(7/7/2025)
RR
Rhode Island(7/7/2025)
RR
South Carolina(7/7/2025)
RR
South Dakota(7/7/2025)
RR
Tennessee(7/7/2025)
RR
Texas(7/7/2025)
RR
Utah(7/7/2025)
RR
Vermont(7/7/2025)
RR
Virginia(7/7/2025)
RR
Washington(7/7/2025)
RR
West Virginia(7/7/2025)
RR
Wisconsin(7/7/2025)
RR
Wyoming(7/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/7/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/6/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.
CRD#: 28872 / SEC#: , 8-43978
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MEEHAN, TIMOTHY MICHAEL | GENERAL COUNSEL | 4238220 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
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.
