Dominick J. Dawson
Professional summary
Dominick Joseph Dawson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dominick is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Dominick had worked at 5 firms, which includes NEW TIMES SECURITIES SERVICES INC., JOSEPHTHAL & CO. INC., CONTINENTAL BROKER-DEALER CORP., TASIN & COMPANY INC., LT LAWRENCE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 1999 - July 14, 1999
NEW TIMES SECURITIES SERVICES, INC.
June 26, 1998 - February 4, 1999
JOSEPHTHAL & CO., INC.
April 4, 1997 - July 24, 1998
CONTINENTAL BROKER-DEALER CORP.
October 16, 1995 - December 19, 1996
CONTINENTAL BROKER-DEALER CORP.
January 10, 1995 - May 24, 1995
TASIN & COMPANY, INC.
November 18, 1994 - November 21, 1994
LT LAWRENCE & CO., INC.
June 2, 1994 - November 3, 1994
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NEW TIMES SECURITIES SERVICES, INC.
CRD#: 34154 / SEC#: , 8-46215
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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