Richard E. Dawson
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.
Richard Eric Dawson, who also goes by Richard Eric Dawson, Richard Dawson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 10 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7 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
May 17, 2021 - July 19, 2024
CIBC WORLD MARKETS CORP.
May 31, 2018 - March 2, 2021
SG AMERICAS SECURITIES, LLC
April 28, 2010 - February 14, 2018
UBS SECURITIES LLC
October 8, 2009 - May 11, 2010
COLTIN SECURITIES, LLC
October 1, 2008 - December 17, 2008
J.P. MORGAN SECURITIES LLC
August 4, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2004 - August 5, 2008
J.P. MORGAN SECURITIES LLC
November 24, 2003 - June 21, 2004
COMMERZBANK CAPITAL MARKETS CORP.
July 26, 2000 - April 1, 2003
GOLDMAN SACHS & CO. LLC
December 18, 1998 - August 8, 2000
CITIGROUP GLOBAL MARKETS INC.
September 23, 1997 - December 18, 1998
CITICORP SECURITIES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 8/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
