Dawn W. Edwards
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.
Dawn Watson Edwards, who also goes by Dawn Michele Edwards, Dawn Michele Watson Edwards, Dawn W Edwards, Dawn Michele Watson, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1994. Dawn had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2016 - September 3, 2024
NYLIFE SECURITIES LLC
August 15, 2014 - April 14, 2016
HSBC SECURITIES (USA) INC.
August 15, 2014 - April 14, 2016
HSBC SECURITIES (USA) INC.
January 22, 2013 - August 4, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 4, 2014
J.P. MORGAN SECURITIES LLC
June 19, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 8, 2010 - November 19, 2010
FIRST EMPIRE SECURITIES, INC.
April 8, 2002 - November 29, 2004
OSAIC WEALTH, INC.
April 19, 2000 - February 12, 2001
INSTINET.COM CORPORATION
September 8, 1999 - April 12, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
November 11, 1996 - October 11, 1999
CITICORP INVESTMENT SERVICES
September 29, 1995 - November 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 1994 - August 30, 1995
STRATTON OAKMONT INC.
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
Series 55
Date: 5/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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