Dawne S. Garvey
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.
Dawne Sharee Garvey, who also goes by Dawne Sharee Paul, was a registered financial professional .
Dawne is a previously registered financial professional and started their career in finance in 2001. Dawne had worked at 4 firms and has passed the Series 65, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - May 1, 2020
CAPTRUST WEALTH ADVISORS
July 8, 2008 - May 8, 2017
RIVER GLEN WEALTH COUNSELORS
July 12, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 12, 2001 - July 3, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CAPTRUST WEALTH ADVISORS
CRD#: 173736 / SEC#: 801-80687
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
CAPTRUST WEALTH ADVISORS
CRD#: 173736 / SEC#: 801-80687
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,912 |
| AUM (Assets Under Management) | $ 1,889,548,733 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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