Dawn S. Thome
Professional summary
Dawn S. Thome, who also goes by Dawn S Kovac, Dawn Sally Kovac, Dawn Sally Thome, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 1994. Dawn has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn S. Thome's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015February 27, 2018 - April 18, 2023
ASSOCIATED INVESTMENT SERVICES, INC.
February 26, 2018 - April 18, 2023
ASSOCIATED INVESTMENT SERVICES, INC.
June 5, 2014 - February 14, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 5, 2014 - February 14, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 9, 2010 - March 7, 2014
INTL ADVISORY CONSULTANTS INC.
August 16, 2010 - March 7, 2014
STERNE, AGEE & LEACH, INC.
April 30, 2007 - August 2, 2010
DEUTSCHE BANK SECURITIES INC.
April 30, 2007 - August 2, 2010
DEUTSCHE BANK SECURITIES INC.
September 10, 2001 - April 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2000 - April 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 1999 - August 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
April 12, 1996 - March 8, 1999
ABN AMRO INCORPORATED
February 5, 1996 - April 10, 1996
J.P. MORGAN SECURITIES LLC
September 1, 1994 - January 23, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
April 29, 1994 - September 1, 1994
HAMILTON INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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