Dawn N. Bradford
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 N Bradford, who also goes by Dawn Nicole Bradford, Dawn N Morris, Dawn Nicole Morris, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1997. Dawn had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2022 - April 5, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 22, 2022 - April 5, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 13, 2022 - September 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2022 - September 13, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2019 - September 1, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 1, 2019 - September 1, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 4, 2014 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 8, 2014 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 23, 2009 - January 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2008 - January 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2007 - December 19, 2007
LEVEL FOUR FINANCIAL, LLC
September 26, 2006 - April 2, 2007
ACCESS FINANCIAL GROUP, INC.
September 30, 2003 - July 25, 2006
U.S. BANCORP INVESTMENTS, INC.
April 12, 2000 - September 12, 2003
CITIGROUP GLOBAL MARKETS INC.
July 2, 1997 - October 27, 1998
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
