DH
Dawn O. Hale
BCN FINANCIAL
ALAMEDA, CA 94501
Some features on this profile are disabled
CRD#: 1993023
DH
Professional summary
Dawn Oneal Hale is a registered financial advisor currently at BCN FINANCIAL, INC. located in Alameda, California and LPL FINANCIAL LLC located in Alameda, California.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dawn has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 04/17/2024 - Rental Property - Real Estate Rental - Investment Related - Alameda, CA - Start Date 10/01/2009 - 2 Hours Per Month/ 1 Hour During Trading 2. 04/17/2024 - Non Variable (fixed) Insurance - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 10/01/1988 - 20 Hours Per Month/ 2 Hours During Trading 3. 04/17/2024 - BCN Financial Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/01/1988 - 160 Hours Per Month/ 7 Hours During Trading 4. 04/24/2024 - BCN Financial, Inc. - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/01/1988 - 173 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through BCN Financial, Inc., an independent investment advisor firm. I started this business activity in 10/1998. I expect to spend approximately 173 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Oneal Hale'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
September 20, 2005 - Present
BCN FINANCIAL, INC.
Office #1: 3215 Encinal Avenue, Suite L, Alameda, CA 94501RIA
CRD#: 135655
ALAMEDA, CA
Current
April 17, 2024 - Present
LPL FINANCIAL LLC
Office #1: 3215 Encinal Ave., Ste L, Alameda, CA 94501RIA
BD
CRD#: 6413
Alameda, CA
Past
February 2, 2017 - April 17, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
Alameda, CA
Past
April 8, 2004 - October 19, 2005
BCN FINANCIAL
RIA
CRD#: 124914
ALAMEDA, CA
Past
June 20, 1990 - February 2, 2017
QUEST SECURITIES, INC.
BD
CRD#: 6828
ALAMEDA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(8/14/2024)
RR
Arizona(4/17/2024)
IAR
California(9/20/2005)
RR
California(4/17/2024)
RR
Florida(11/12/2024)
RR
Hawaii(8/21/2024)
RR
Idaho(4/17/2024)
IAR
Idaho(10/27/2025)
RR
Michigan(8/27/2024)
RR
Minnesota(8/9/2024)
RR
Montana(8/14/2024)
RR
Nevada(4/17/2024)
IAR
Nevada(11/10/2025)
RR
New Mexico(8/27/2024)
RR
North Carolina(8/16/2024)
RR
Oregon(4/17/2024)
RR
South Carolina(4/17/2024)
RR
South Dakota(9/23/2024)
RR
Tennessee(9/10/2024)
RR
Texas(9/10/2024)
RR
Utah(10/8/2024)
RR
Washington(4/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BCN FINANCIAL, INC.
BCN FINANCIAL, INC.
CRD#: 135655 / SEC#:
California
Registered Investment Advisory firm - (9/20/2005 Approved)Idaho
Registered Investment Advisory firm - (10/24/2025 Approved)Nevada
Registered Investment Advisory firm - (11/6/2025 Approved)Texas
Registered Investment Advisory firm - (11/18/2022 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3215 Encinal Avenue Suite L, Alameda, CA 94501
Mailing Address
909 Marina Village Parkway Pmb 245, Alameda, CA 94501
Phone number
(510) 769-1088
Established
Firm type
Fiscal year end
# of Employees
7
0
Red Flags
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