Dawn S. Williams
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 Suzanne Williams, who also goes by Dawn Suzanne Blodgett, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1996. Dawn had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2015 - July 15, 2020
VALIC FINANCIAL ADVISORS, INC.
December 15, 2015 - July 15, 2020
VALIC FINANCIAL ADVISORS, INC.
May 1, 2012 - April 15, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
May 1, 2012 - April 15, 2014
ALLSTATE FINANCIAL SERVICES, LLC
December 20, 2006 - October 5, 2010
U.S. BANCORP INVESTMENTS, INC.
August 9, 2005 - October 5, 2010
U.S. BANCORP INVESTMENTS, INC.
July 20, 2004 - March 21, 2005
COMERICA SECURITIES
February 18, 2004 - July 29, 2004
IFMG SECURITIES, INC.
August 1, 2003 - February 18, 2004
LEGEND EQUITIES CORPORATION
December 1, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
December 1, 2000 - August 8, 2003
VALIC FINANCIAL ADVISORS, INC.
May 11, 2000 - December 12, 2000
CITISTREET EQUITIES LLC
May 1, 1996 - February 1, 2000
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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
Series 7TO
Date: 8/3/2022
General Securities Representative ExaminationCurrent Firm
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
