Dawn L. Thorpe
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 Lynnette Thorpe, who also goes by Dawn Lynnette Muldrow, Dawn Muldrow, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2000. Dawn had worked at 4 firms and has passed the Series 66, Series 63 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
June 14, 2011 - November 27, 2012
EBH SECURITIES, INC.
January 30, 2008 - September 4, 2008
ALLSTATE FINANCIAL SERVICES, LLC
August 9, 2006 - December 21, 2007
CHASE INVESTMENT SERVICES CORP.
August 1, 2006 - December 21, 2007
CHASE INVESTMENT SERVICES CORP.
March 17, 2003 - September 24, 2004
CHARLES SCHWAB & CO., INC.
May 25, 2000 - September 24, 2004
CHARLES SCHWAB & CO., INC.
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
EBH SECURITIES, INC.
CRD#: 36592 / SEC#: , 8-47352
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WHITTLESEY, STANLEY | CHIEF COMPLIANCE OFFICER, PRESIDENT | 1556793 |
Disclosures
| Regulatory Event | 2 |
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.
