Dawn R. Brock
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.
Dawn Renee Brock, who also goes by Dawn Renee Donofrio, Dawn Renee Donofrio, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1998. Dawn had worked at 7 firms and has passed the Series 63, Series 86, Series 87 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
August 9, 2011 - December 3, 2013
LORD ABBETT DISTRIBUTOR LLC
November 11, 2009 - June 1, 2011
KAUFMAN BROS., L.P.
October 1, 2008 - December 17, 2008
J.P. MORGAN SECURITIES LLC
May 12, 2004 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 10, 2003 - May 3, 2004
BMO CAPITAL MARKETS CORP.
April 9, 2001 - March 11, 2002
UBS FINANCIAL SERVICES INC.
November 30, 1998 - April 11, 2001
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
LORD ABBETT DISTRIBUTOR LLC
CRD#: 530 / SEC#: , 8-216
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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