Michael L. Dawes
Professional summary
Michael Lloyd Dawes, AIF®, who also goes by Micheal Lloyd Dawes, Mike Dawes, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Lloyd Dawes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2023 - Present
STANCORP EQUITIES, INC.
Office #1: 1100 Sw 6th Avenue, Portland, OR 97204June 24, 2019 - December 31, 2022
SECURIAN FINANCIAL SERVICES, INC.
April 2, 2009 - October 11, 2017
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - February 27, 2009
FIDELITY BROKERAGE SERVICES LLC
April 28, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
April 10, 2002 - October 26, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
September 26, 2000 - April 10, 2002
FIDELITY BROKERAGE SERVICES LLC
February 5, 1999 - September 26, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
November 5, 1997 - December 31, 1998
FIDELITY BROKERAGE SERVICES LLC
March 20, 1996 - November 5, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2023)
(1/4/2023)
(1/4/2023)
(1/4/2023)
(1/2/2025)
(5/8/2024)
Exams
FINRA
Current Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
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