Joshua J. 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.
Joshua James Dawson, who also goes by J.j. Dawson, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - November 27, 2017
J.P. MORGAN SECURITIES LLC
October 21, 2014 - June 10, 2015
CAPITAL WEALTH PLANNING, LLC
January 24, 2013 - August 21, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 23, 2013 - August 21, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 24, 2010 - December 11, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 27, 2008 - December 11, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 18, 2006 - October 17, 2008
FIDELITY BROKERAGE SERVICES LLC
January 22, 2004 - August 9, 2006
CHARLES SCHWAB & CO., INC.
August 1, 2002 - December 31, 2002
COREBRIDGE CAPITAL SERVICES, INC.
November 22, 2001 - August 14, 2002
PUTNAM INVESTMENT MANAGEMENT, LLC
April 10, 2000 - August 5, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 27, 1998 - June 2, 1999
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
