Dawn M. Cannon
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 Marie Cannon, who also goes by Dawn Marie Spiess, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2003. Dawn had worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 28 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 9, 2003 - September 2, 2020
QUEENS ROAD SECURITIES, LLC
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
Series 28
Date: 11/8/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
QUEENS ROAD SECURITIES, LLC
CRD#: 104277 / SEC#: , 8-52737
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANNON, DAWN MARIE | CHIEF COMPLIANCE OFFICER, FINOP | 4633109 |
Red Flags
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