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DR

Dawn M. Relucio

PERSHING LLC
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 5314878
DR

Professional summary

Dawn Marie Relucio, who also goes by Dawn M Relucio, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida and PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida.

Dawn is registered as a RR (Registered Representative) and started their career in finance in 2017. Dawn has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dawn M Relucio

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dawn Marie Relucio's CRS (Customer Relationship Summary).
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

October 23, 2017 - Present

PERSHING LLC

Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746Office #2: 300 Colonial Center Parkway, Lake Mary, FL 32746
BD
CRD#: 7560
Lake Mary, FL
Current

December 7, 2021 - Present

PERSHING ADVISOR SOLUTIONS LLC

Office #1: 300 Colonial Center Parkway 4th Floor, Lake Mary, FL 32746Office #2: 600 Colonial Center Parkway, Lake Mary, FL 32746
BD
CRD#: 36671
Lake Mary, FL

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/23/2017
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PERSHING ADVISOR SOLUTIONS LLC
PERSHING ADVISOR SOLUTIONS LLC | PERSHING TRADING COMPANY, L.P.

CRD#: 36671 / SEC#: , 8-47425

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 09/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAS HOLDINGS LLCHOLDING COMPANY
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONPRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
HARRISON, BENJAMIN WARDBOARD MEMBER, HEAD OF THE BUSINESS3121159
KEARNEY, JAMES FRANCIS IIICHIEF RISK OFFICER (CRO)6388373
LOFLING, JASON ROBERTBOARD MEMBER5177277
MUTTERER, FRANK PAULCHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)2088419
WEISS, NINA KATECHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER2642331

Disclosures

Regulatory Event17

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

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671Lake Mary, FL 32746

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