Douglas W. Dawson

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CRD#: 4127476

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.

Douglas Warren Dawson, CFP®, who also goes by Douglas W Dawson, Douglas Dawson, Douglas W Mr, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas W Dawson | Douglas Dawson | Douglas W Mr

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.

1) DOUGLAS W. DAWSON, CPA POSITION: Owner NATURE: CPA Tax Practice. Provide tax preparation and planning services for individuals, business entities, and estates and trusts. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2008 ADDRESS: P.O. Box 611144, Rosemary Beach, FL 32461-1001, United States DESCRIPTION: CPA Tax practice. We provide tax preparation and planning services to individuals, business entities, and estates and trusts. I also handle billings and payroll. This is the business I will use to market my Alpine Private Wealth business. 2) RENTAL PROPERTY POSITION: Owner NATURE: Residential Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 115 Grande Pointe Circle, Inlet Beach FL 32461, United States DESCRIPTION: Hired a rental management company to manage this property.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 13686

McLean, VA

Past

May 6, 2004 - November 18, 2005

KPMG INVESTMENT ADVISORS

RIA

CRD#: 111778

MC LEAN, VA

Past

May 8, 2000 - November 4, 2002

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

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".

ALPINE PRIVATE WEALTH

ALPINE PRIVATE CAPITAL | ALPINE PRIVATE WEALTH | ALPINE PRIVATE CAPITAL, LLC

CRD#: 286072 / SEC#: 801-108952

RIA

Registered Investment Advisory firm - (1/17/2017 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/17/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/15/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPINE PRIVATE WEALTH

ALPINE PRIVATE CAPITAL | ALPINE PRIVATE WEALTH | ALPINE PRIVATE CAPITAL, LLC

CRD#: 286072 / SEC#: 801-108952

RIA

Registered Investment Advisory firm - (1/17/2017 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 1300, Saint Louis, MO 63105

Mailing Address

Phone number

(314) 932-1010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APW ADV PART 2A FINAL MARCH 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 1,226,919,954

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Douglas W. Dawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

EPIQWEST INVESTMENT CORPORATION

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

KPMG INVESTMENT ADVISORS

VALMARK SECURITIES, INC.

Primary Firm SEC Registration

ALPINE PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2014

SIE

Date: 8/4/2015

Series 6

Date: 12/15/2014

Current Firm

ALPINE PRIVATE WEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPINE PRIVATE WEALTH

TRUST BUT VERIFY

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