Thomas H. Dawes

MISSIONSQUARE RETIREMENT

YUCAIPA, CA

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CRD#: 3179360

Professional summary

Thomas Harvey Dawes JR, who also goes by Thomas Harvey Dawes, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Yucaipa, California and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Harvey Dawes

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.

Faith Electric and General Building Contractor LLC. Non-investment related. 1980 Orange Tree Lane, Redlands, CA. Nature of business: The company is a subcontractor for a major utility company. Position: Financial Support Specialist. Start date: April 1, 2020. Number of hours/month devoted to the other business: 1; 0 during trading hours. Duties: Data entry and the setup of workstations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Harvey Dawes JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 6, 2020 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

YUCAIPA, CA

Current

August 17, 2020 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

January 21, 2015 - September 10, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

PASADENA, CA

Past

April 13, 2006 - January 15, 2015

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

March 21, 2005 - March 24, 2006

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 20, 2005 - March 22, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 16, 2003 - January 20, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

February 29, 2000 - July 14, 2003

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

February 11, 2000 - February 22, 2000

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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.

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

Alaska
(1/28/2025)

Arizona
(1/28/2025)

California
(8/17/2020)

IAR

California
(10/6/2020)

Montana
(4/15/2025)

Nevada
(1/28/2025)

New Mexico
(1/28/2025)

Oregon
(1/28/2025)

Utah
(1/28/2025)

Washington
(1/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/2000

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: 3/5/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/10/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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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Thomas H. Dawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Harvey Dawes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

COREBRIDGE CAPITAL SERVICES, INC.

WAMU INVESTMENTS, INC.

NYLIFE SECURITIES LLC

EMPOWER FINANCIAL SERVICES, INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2020

Series 63

Date: 2/15/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2015

Series 6

Date: 2/10/2000

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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