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JD

James M. Dawson

WILLIAM AND HENRY ASSOCIATES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 3252786
JD

Professional summary

James Matthew Dawson is a registered financial professional currently at WILLIAM AND HENRY ASSOCIATES located in Los Angeles, California.

James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view James Matthew Dawson'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®
None

Experience

Current

June 13, 2012 - Present

WILLIAM AND HENRY ASSOCIATES

Office #1: 1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067
BD
CRD#: 154566
Los Angeles, CA
Past

July 21, 2010 - June 22, 2012

INNOVATION CAPITAL, LLC

BD
CRD#: 133551
EL SEGUNDO, CA
Past

September 29, 2007 - June 26, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
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

RR
California
(6/19/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/26/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WA
WILLIAM AND HENRY ASSOCIATES
MAR & ASSOCIATES, INC | WILLIAM AND HENRY ASSOCIATES

CRD#: 154566 / SEC#: , 8-68649

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067
Mailing Address
1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067
Phone number
(310) 461-1355
Established
Arizona since 02/15/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DAVID J. IANNINI FAMILY TRUSTSOLE SHAREHOLDER
DAWSON, JAMES MATTHEWPRINCIPAL3252786
IANNINI, DAVID JOELPRESIDENT / CCO / AML-CO1579957
IANNINI, DAVID JOELTRUSTEE1579957
IANNINI, DAVID JOELFINOP1579957

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.

Company Information

WILLIAM AND HENRY ASSOCIATES

CRD#: 154566Los Angeles, CA 90067

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