DB
Dawn W. Barnes
AURORA BAY CAPITAL
Atlanta, GA
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CRD#: 2630218
DB
Professional summary
Dawn Wilson Barnes, who also goes by Dawn Wilson, Dawn Wilson Barnes, is a registered financial advisor currently at AURORA BAY CAPITAL located in Atlanta, Georgia and YOUNG AMERICA CAPITAL, LLC located in Mamaroneck, New York.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Dawn has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 50, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn Wilson | Dawn Wilson Barnes
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.
1. AURORA BAY CAPITAL, LLC - 5485 NEW WELLINGTON CLOSE, ATLANTA GA 30327 NATURE: BRANDING PLATFORM FOR ALL WORK DONE THROUGH PICKWICK CAPITAL PARTNERS, LLC WEBSITES: NONE TITLE&RESPONSIBILITIES: PRESIDENT/BRANDING PLATFORM COMPENSATION: NONE PERSONAL FINANCIAL INVESTMENT IN ACTIVITY: NONE HRS PER WEEK DEVOTED TO ACTIVITY: 1 - 2 HRS. WILL ANY HRS OCCUR DURING NORMAL BUSINESS HOURS: NO PROVIDE ANY OTHER INFORMATION FOR CONSIDERATION: NONE 2. GREEN THUMB INDUSTRIES INC., 325 W. HURON STREET, CHICAGO, IL 60654 - NATURE: PRODUCER AND RETAILER OF MEDICINAL AND RECREATIONAL CANNABIS PRODUCTS THROUGHOUT WHOLESALE AND RETAIL CHANNELS IN THE US, CONSIDERED ONE OF THE LARGEST MULTI-STATE OPERATORS (MSO) IN THE COUNTRY - WEBSITE: GTIGROWS.COM - ROLE: OUTSIDE DIRECTOR AND MEMBER OF THE AUDIT COMMITTEE - HRS PER WEEK DURING THE FIRM'S BUSINESS HRS: 10 HRS PER WEEK. 3. AURORA BAY CAPITAL, 5485 NEW WELLINGTON CLOSE, ATLANTA, GA 30327 - NATURE: REGISTERED INVESTMENT ADVISOR AND ADVISORY CONSULTING; THE RIA IS GEORGIA BASED AND COULD INCLUDE INVESTMENT ADVICE AND PORTFOLIO MANAGEMENT SERVICES ON A DISCRETIONARY BASIS, IT COULD ALSO INCLUDE ADVISORY SERVICES, CONSULTING ARRANGEMENTS - WEBSITE: NONE - ROLE: PRESIDENT AND CHIEF COMPLIANCE OFFICER - HRS PER WEEK DURING THE FIRM'S BUSINESS HRS: 10-15 HRS PER WEEK. 4. HEALTHLYTE, LLC AND 2406 CANCER CARE, LLC, 11175 CICERO DRIVE, STE. 100, ALPHARETTA, GA 30022 - NATURE: CANCER ONCOLOGY, UROLOGY, CRITICAL CARE MONITORING, REMOTE PATIENT MONITORING - WEBSITE: CENTRALGEORGIAUROLOGY.ORG - ROLE: CONSULTING ON NMTC STRUCTURE, NO FORMAL TITLE - HRS DURING THE FIRM'S BUSINESS HRS: 10 HRS PER WEEK. 5. SEROVITA HOLDING CORPORATION, 2200 E 77TH AVE UNIT 100, SUITE B100, DENVER, COLORADO, 80229 - NATURE: CANNABIS BEVERAGE MANUFACTURER AND RETAILER - WEBSITE: KEEFBRANDS.COM - ROLE: MEMBER OF THE BOARD OF ADVISORS - HRS DURING THE FIRM'S BUSINESS HRS: 1-2 HRS PER WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Wilson Barnes's 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®
NoneExperience
Current
July 3, 2023 - Present
AURORA BAY CAPITAL
RIA
CRD#: 300137
Atlanta, GA
Current
October 28, 2024 - Present
YOUNG AMERICA CAPITAL, LLC
Office #1: 141 East Boston Post Road, Mamaroneck, NY 10543BD
CRD#: 150443
Mamaroneck, NY
Past
October 1, 2024 - October 25, 2024
BRADLEY WOODS & CO. LTD.
BD
CRD#: 13660
NEW YORK, NY
Past
June 24, 2019 - December 31, 2022
AURORA BAY CAPITAL
RIA
CRD#: 300137
ATLANTA, GA
Past
October 31, 2017 - October 1, 2024
PICKWICK CAPITAL PARTNERS, LLC
BD
CRD#: 130672
WHITE PLAINS, NY
Past
November 21, 2016 - January 25, 2017
INCOME FOCUS PORTFOLIO MANAGEMENT
RIA
CRD#: 165477
ATLANTA, GA
Past
August 7, 2012 - November 4, 2015
KOTA GLOBAL SECURITIES INC.
BD
CRD#: 28137
NEW YORK, NY
Past
January 11, 2012 - April 2, 2012
CARIS & COMPANY, INC.
BD
CRD#: 104235
ATLANTA, GA
Past
January 28, 2008 - February 11, 2010
MAGNA
BD
CRD#: 30935
NEW YORK CITY, NY
Past
April 25, 2006 - November 6, 2007
MAGNA
BD
CRD#: 30935
NEW YORK, NY
Past
August 12, 1998 - May 18, 2004
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 29, 1995 - April 24, 1998
JPMSI
BD
CRD#: 15733
NEW YORK, NY
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.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
IAR
Georgia(7/3/2023)
RR
Georgia(11/6/2024)
RR
New York(10/28/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AB
AURORA BAY CAPITAL
AURORA BAY CAPITAL | AURORA BAY CAPITAL, LLC
CRD#: 300137 / SEC#:
Georgia
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Contact information
Main Address
Atlanta, GA
Mailing Address
Phone number
(917) 991-2398
Established
Firm type
Fiscal year end
# of Employees
1
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Georgia | ERA - Withdrawn | 5/12/2023 |
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.
