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DF

Dawn M. Federici

PURSHE KAPLAN STERLING INVESTMENTS
Portland, OR 97223
Some features on this profile are disabled
CRD#: 2097964
DF

Professional summary

Dawn Marie Federici, who also goes by Dawn Marie Cromwell, Dawn Cromwell, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Portland, Oregon.

Dawn is registered as a RR (Registered Representative) and started their career in finance in 1997. Dawn has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dawn Marie Cromwell | Dawn Cromwell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dawn Marie Federici's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 18, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10200 Sw Greenburg Road Suite 300, Portland, OR 97223
BD
CRD#: 35747
Portland, OR
Past

October 18, 2019 - April 26, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
PORTLAND, OR
Past

March 11, 2014 - November 4, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
PORTLAND, OR
Past

October 2, 2013 - October 25, 2013

FSC SECURITIES CORPORATION

BD
CRD#: 7461
LAKE OSWEGO, OR
Past

February 7, 2002 - September 10, 2012

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
BEAVERTON, OR
Past

February 3, 1999 - July 18, 2000

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

October 23, 1997 - February 8, 1999

CHARTER INVESTMENT GROUP, INC.

BD
CRD#: 42506
PORTLAND, OR
Past

February 12, 1997 - September 29, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Oregon
(4/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/18/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/6/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/10/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Portland, OR 97223

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