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DH

Dawn M. Hemming

HEMMING& WEALTH MANAGEMENT
TRAVERSE CITY, MI 49686
Some features on this profile are disabled
CRD#: 2243857
DH

Professional summary

Dawn Michelle Hemming is a registered financial advisor currently at HEMMING& WEALTH MANAGEMENT, INC. located in Traverse City, Michigan.

Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Dawn has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 51 and Series 26 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Michelle Hemming'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

May 1, 2019 - Present

HEMMING& WEALTH MANAGEMENT, INC.

Office #1: 600 E. Front Street Suite 201, Traverse City, MI 49686
RIA
CRD#: 300918
TRAVERSE CITY, MI
Past

May 28, 2010 - May 6, 2019

OSAIC SERVICES, INC.

RIA
CRD#: 133763
TRAVERSE CITY, MI
Past

October 31, 2008 - May 6, 2019

OSAIC SERVICES, INC.

BD
CRD#: 133763
TRAVERSE CITY, MI
Past

March 27, 1997 - October 31, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
TRAVERSE CITY, MI
Past

June 1, 1992 - March 31, 1997

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HW
HEMMING& WEALTH MANAGEMENT, INC.
HEMMING & WEALTH MANAGEMENT | HEMMING& WEALTH MANAGEMENT, INC.

CRD#: 300918 / SEC#: 801-114962

RIA
Registered Investment Advisory firm - (4/10/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Michigan
(5/1/2019)
IAR
Texas
(7/24/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/20/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/29/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 12/4/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/28/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

HW
HEMMING& WEALTH MANAGEMENT, INC.
HEMMING & WEALTH MANAGEMENT | HEMMING& WEALTH MANAGEMENT, INC.

CRD#: 300918 / SEC#: 801-114962

RIA
Registered Investment Advisory firm - (4/10/2019 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 E. Front Street Suite 201, Traverse City, MI 49686
Mailing Address
Phone number
(231) 922-2900
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HEMMING DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (7/16/2025)

Regulatory assets under management

Total Number of Accounts1,525
AUM (Assets Under Management)$ 253,122,835

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

HEMMING& WEALTH MANAGEMENT, INC.

CRD#: 300918Traverse City, MI 49686

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Contact information

xxxxx@xxxx.xxx

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