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Mylan Wayne Dawson Mr.

CRD# 3071616·Registered 1999 - 2015
Previously Registered: Being a previously registered professional could mean that Mylan 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.

Professional Summary

Mylan Wayne Dawson MR. was a registered financial advisor. Mylan was a previously registered financial professional and started their career in finance 1999 - 2015. Mylan had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

GRANDWOOD SECURITIES LLC·CRD# 127211
BD
New York, NY
July 28, 2004 - December 11, 2015
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
December 10, 1999 - January 29, 2003

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Current Firm

GS
GRANDWOOD SECURITIES LLC

GRANDWOOD SECURITIES LLC

CRD#: 127211 / SEC#: 8-65964
BD
Terminated by SEC on 12/12/2015

Contact Information

Established

New York since 12/03/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GRANDWOOD CAPITAL LLCOWNER—
BIRNBAUM, ADAM SCOTTMANAGER/CO-CHIEF COMPLIANCE OFFICER1442268
KLEIN, CHARLES JFINANCIAL OPERATIONS PRINCIPAL4707746
MORTELL, MICHAEL JAMESMANAGER/CO-CHIEF COMPLIANCE OFFICER2505419

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1999About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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