Alan T. Dawkins
COLONIAL RIVER WEALTH MANAGEMENT LLC
Newport News, VA 23606
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CRD#: 3000130
Professional summary
Alan Torrence Dawkins, CFP®, who also goes by Alan Dawkins, is a registered financial advisor currently at COLONIAL RIVER WEALTH MANAGEMENT LLC located in Newport News, Virginia and LPL FINANCIAL LLC located in Newport News, Virginia.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Long-term Care
Investment Planning
Retirement Planning
Estate Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Alan Dawkins
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. 6/6/2018 - Colonial River Investments LLC - DBA: (Hybrid) Colonial River Investments LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date: 10/31/2017 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent: 100% - I provide investment advisory services through Colonial River Investments LLC, an independent investment advisor firm. I started this business activity in 10/31/2017. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 9/11/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 08/16/2019 - 6 Hours er Month/4 Hours During Securities Trading. 3. 1/13/2021 - Dawkins Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/11/2021- 8 Hours Per Month/0 Hours During Securities Trading. 4. 7/12/2021 - Dawkins Financial LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/15/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 5. 7/12/2021 - Colonial River Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/13/2017 - 1 Hour Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Torrence Dawkins'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®
CFP®
Start date: 2018
Experience
Current
November 17, 2017 - Present
COLONIAL RIVER WEALTH MANAGEMENT LLC
Office #1: 700 Tech Center Parkway, Suite 200-9, Newport News, VA 23606RIA
CRD#: 284839
Newport News, VA
Current
November 13, 2017 - Present
LPL FINANCIAL LLC
Office #1: 700 Tech Center Pkwy Ste 200-9, Newport News, VA 23606Office #2: 2110 William Styron Sq S, Newport News, VA 23606RIA
BD
CRD#: 6413
Newport News, VA
Past
December 17, 2015 - November 17, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
CHESAPEAKE, VA
Past
October 13, 2003 - November 17, 2017
OSAIC FS, INC.
BD
CRD#: 3870
CHESAPEAKE, VA
Past
May 21, 1998 - July 23, 2003
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
March 24, 1998 - April 13, 1998
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 Terminated)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
RR
Arizona(1/19/2018)
RR
California(5/19/2023)
RR
Colorado(4/11/2022)
RR
Florida(3/28/2024)
RR
Georgia(3/23/2018)
RR
Illinois(3/21/2018)
RR
Kansas(4/15/2020)
RR
Maryland(2/5/2021)
RR
Massachusetts(11/26/2021)
RR
North Carolina(8/27/2018)
RR
Texas(1/19/2018)
RR
Vermont(4/2/2025)
RR
Virginia(11/13/2017)
IAR
Virginia(11/17/2017)
RR
Washington(1/19/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
340 Browns Hill Court, Midlothian, VA 23114
Mailing Address
Phone number
(804) 335-1200
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,524 |
| AUM (Assets Under Management) | $ 339,836,345 |
Red Flags
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Company Information
COLONIAL RIVER WEALTH MANAGEMENT LLC
CRD#: 284839Newport News, VA 23606TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
