Michael D. 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.
Michael David Dawson, who also goes by Michael Dawson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2021 - January 30, 2023
LPL FINANCIAL LLC
March 24, 2021 - January 30, 2023
LPL FINANCIAL LLC
August 22, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
April 18, 2012 - August 17, 2012
M&I FINANCIAL ADVISORS, INC
January 25, 2012 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
December 8, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
December 3, 2010 - August 17, 2012
M&I FINANCIAL ADVISORS, INC
July 31, 2009 - December 7, 2010
WELLS FARGO INVESTMENTS, LLC
July 21, 2009 - December 7, 2010
WELLS FARGO INVESTMENTS, LLC
December 10, 2008 - April 22, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
December 15, 2006 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
December 15, 2006 - April 22, 2009
JOHN HANCOCK DISTRIBUTORS LLC
January 7, 2002 - July 20, 2006
UBS FINANCIAL SERVICES INC.
February 2, 1996 - July 20, 2006
UBS FINANCIAL SERVICES INC.
January 24, 1990 - March 6, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
