Dawn M. Travis
Professional summary
Dawn Marie Travis, who also goes by Dawn Marie Baca, Dawn Marie Baca-travis, is a registered financial professional currently at W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, LLC located in Cincinnati, Ohio.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2009. Dawn has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Marie Travis's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2015 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202August 1, 2025 - Present
TOUCHSTONE SECURITIES, LLC
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202June 6, 2023 - July 6, 2025
TOUCHSTONE SECURITIES, LLC
March 15, 2018 - October 17, 2019
TOUCHSTONE SECURITIES, LLC
October 19, 2009 - November 17, 2015
TOUCHSTONE 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
(10/18/2019)
(3/16/2018)
(3/16/2026)
Exams
What does exam status mean?
Series 6
Passed: 10/16/2009
Series 26
Passed: 3/30/2010
FINRA
Current Firm
TOUCHSTONE SECURITIES, LLC
CRD#: 1526 / SEC#: , 8-14052
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOUCHSTONE ADVISORS INC | SHAREHOLDER | 107028 |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| DAY, MICHAEL | DIVISIONAL VP | 5089878 |
| GROUT, THOMAS JOSEPH | DIVISIONAL VP | 5889057 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| KUSSIN, WILLIAM FREDERICK | DIVISIONAL VP | 5810274 |
| MASTERS, JOSHUA | ASSISTANT VP | 7671731 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| RENNERS, TYLER SCOTT | SECRETARY | 8246902 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| SMITH, JULIE LOUISE | VICE PRESIDENT | 3199707 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER / TREASURER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Red Flags
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Company Information
TOUCHSTONE SECURITIES, LLC
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
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