Michel S. Dawson

CRD#: 3074609

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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.

Michel Shawn Dawson was a registered financial professional .

Michel is a previously registered financial professional and started their career in finance in 1998. Michel had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2018 - November 30, 2018

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

May 20, 2010 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

May 3, 2010 - November 29, 2018

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

April 6, 2005 - November 14, 2008

ROWLAND CARMICHAEL ADVISORS INC

RIA

CRD#: 105766

SCOTTSDALE, AZ

Past

December 13, 2002 - August 7, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

DALLAS, TX

Past

August 7, 2002 - August 4, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

July 30, 1998 - August 5, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RICHARDSON, TX

Past

July 27, 1998 - August 5, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 27, 1998 - August 5, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/13/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2010

General Securities Representative Examination

Current Firm

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Mailing Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Phone number

(800) 531-7960

Established

Delaware since 09/01/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

152

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)

ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
USAA INVESTMENT CORPORATION (PARENT CO.)	SHAREHOLDER
BEALL, KEVIN DOUGLAS	VICE PRESIDENT, DIRECTOR	4202452
ECK, FRANK THOMAS IV	SECRETARY	7979835
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
HANKS, KARE ELIZABETH	DIRECTOR, VICE PRESIDENT	2883762
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996
PEREZ-ROSSELLO, MADELINE IVETTE	ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4033239
STORK, MARY ELIZABETH	DIRECTOR	2960253
WHITE, WILLIAM SWEENEY	PRESIDENT, VICE-CHAIRMAN, DIRECTOR	4843743

Disclosures

Regulatory Event	1
Arbitration	4

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.

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Advisor Monitoring

Firm Stability Insights

Michel S. Dawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

ROWLAND CARMICHAEL ADVISORS INC

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2010

Current Firm

USAA INVESTMENT SERVICES COMPANY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USAA INVESTMENT SERVICES COMPANY

TRUST BUT VERIFY

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