Kristen A. 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.
Kristen A Dawson, CFP®, who also goes by Kristen Ann Dawson, Kristen Dawson, Kristen A Triggs, Kristen Ann Triggs, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 2002. Kristen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2024 - September 2, 2025
CAROFIN, LLC
August 20, 2021 - March 29, 2023
EQUITABLE ADVISORS, LLC
August 16, 2021 - March 29, 2023
EQUITABLE ADVISORS, LLC
January 14, 2019 - August 27, 2019
EDWARD JONES
January 11, 2019 - August 27, 2019
EDWARD JONES
June 28, 2016 - January 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2016 - January 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2014 - December 21, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
January 18, 2013 - February 11, 2014
PACER FINANCIAL, INC.
December 11, 2004 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
April 29, 2002 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
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
CAROFIN, LLC
CRD#: 298717 / SEC#: , 8-70224
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | |
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | |
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 |
| MILHAUPT, PETER STUART | MANAGER | 728310 |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
Red Flags
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