Dawn C. Pedicord

PEDICORD WEALTH MANAGEMENT

Rocklin, CA 95765

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CRD#: 3193741

Professional summary

Dawn Christina Pedicord, CFP®, who also goes by Dawn C. Pedicord, Dawn Christina Wooten, is a registered financial advisor currently at PEDICORD WEALTH MANAGEMENT, LLC located in Rocklin, California.

Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Dawn has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dawn C. Pedicord | Dawn Christina Wooten

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.

Licensed Insurance Agent (not investment related) - Ms. Pedicord is an insurance agent with an active license. She presently does not offer insurance services to clients, and therefore devotes zero hours per month to these activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Christina Pedicord's 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

August 31, 2021 - Present

PEDICORD WEALTH MANAGEMENT, LLC

Office #1: 6520 Lonetree Blvd Suite 124, Rocklin, CA 95765

RIA

CRD#: 314931

Rocklin, CA

Past

September 12, 2014 - September 9, 2021

LPL FINANCIAL LLC

CRD#: 6413

SACRAMENTO, CA

Past

November 5, 2002 - December 1, 2021

FOORD, VAN BRUGGEN & PAJAK FINANCIAL SERVICES

RIA

CRD#: 130471

SACRAMENTO, CA

Past

October 2, 2002 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

SACRAMENTO, CA

Past

March 10, 1999 - September 25, 2002

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

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.

Highlighted states indicate IAR registrations

IAR

California
(8/31/2021)

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

IAR

Series 65

Date: 8/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/9/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEDICORD WEALTH MANAGEMENT, LLC

CRD#: 314931 / SEC#: 801-121740

RIA

Registered Investment Advisory firm - (1/7/2022 Terminated)

California

Registered Investment Advisory firm - (1/5/2022 Approved)

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).

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Contact information

Main Address

6520 Lonetree Blvd Suite 124, Rocklin, CA 95765

Mailing Address

Phone number

(916) 596-6433

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 81,423,152

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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Dawn C. Pedicord

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Christina Pedicord's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEDICORD WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

FOORD, VAN BRUGGEN & PAJAK FINANCIAL SERVICES

FINANCIAL TELESIS INC

SECURITIES SERVICE NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2000

Series 63

Date: 3/10/1999

SIE

Date: 10/1/2018

Series 6

Date: 3/9/1999

Current Firm

PEDICORD WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEDICORD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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