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RD

Robert B. Dawson

DAWSON INVESTMENT MANAGEMENT
Walnut Creek, CA 94597
Some features on this profile are disabled
CRD#: 4502523
RD

Professional summary

Robert Brennan Dawson is a registered financial advisor currently at DAWSON INVESTMENT MANAGEMENT located in Walnut Creek, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1. 2/2/2018 - No Business Name - Investment Related - Non-Variable Insurance Trails Only - Started 08/30/2017 - 0 Hours Per Month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Brennan 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

February 4, 2021 - Present

DAWSON INVESTMENT MANAGEMENT

Office #1: 2910 Camino Diablo Suite 110, Walnut Creek, CA 94597
RIA
CRD#: 312098
Walnut Creek, CA
Past

August 21, 2017 - July 26, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
WALNUT CREEK, CA
Past

August 21, 2017 - June 30, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
WALNUT CREEK, CA
Past

November 28, 2014 - August 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Walnut Creek, CA
Past

July 3, 2014 - August 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Walnut Creek, CA
Past

December 8, 2005 - July 7, 2014

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
CLAYTON, CA
Past

February 20, 2002 - December 1, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA

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
(2/4/2021)
IAR
Texas
(1/3/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/28/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/15/2002
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 7
Date: 2/16/2002
General Securities Representative Examination

Current Firm

DI
DAWSON INVESTMENT MANAGEMENT
DAWSON INVESTMENT MANAGEMENT | DAWSON, ROBERT, B.

CRD#: 312098 / SEC#:

California
Registered Investment Advisory firm - (2/4/2021 Approved)
Texas
Registered Investment Advisory firm - (12/23/2021 Conditional Restricted)
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Contact information

Main Address
2910 Camino Diablo Suite 110, Walnut Creek, CA 94597
Mailing Address
Phone number
(925) 673-1300
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts172
AUM (Assets Under Management)$ 34,520,350

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

DAWSON INVESTMENT MANAGEMENT

CRD#: 312098Walnut Creek, CA 94597

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