John K. Dawes

LEGACY INVESTMENT STRATEGIES

METAIRIE, LA 70002

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CRD#: 6824322

Professional summary

John K Dawes Jr, who also goes by John Kriel Dawes Jr, John Kriel Dawes, John Dawes, is a registered financial advisor currently at LEGACY INVESTMENT STRATEGIES, LLC located in Metairie, Louisiana.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Kriel Dawes Jr | John Kriel Dawes | John Dawes

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.

May work in the capacity of a registered representative using LPL financial as the broker dealer. May use products offered through insurance carriers in pursuit of fulfilling client needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John K Dawes Jr'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

October 17, 2025 - Present

LEGACY INVESTMENT STRATEGIES, LLC

Office #1: 3445 N Causeway Blvd Suite 905, Metairie, LA 70002

RIA

CRD#: 117423

METAIRIE, LA

Past

November 19, 2024 - July 24, 2025

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

New Orleans, LA

Past

November 6, 2024 - July 24, 2025

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 5, 2020 - October 11, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

NEW ORLEANS, LA

Past

February 22, 2019 - October 11, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW ORLEANS, LA

Past

January 26, 2018 - October 23, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW ORLEANS, LA

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

Louisiana
(10/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2018

General Securities Representative Examination

Current Firm

LEGACY INVESTMENT STRATEGIES, LLC

CRD#: 117423 / SEC#:

California

Registered Investment Advisory firm - (5/28/2024 Approved)

Louisiana

Registered Investment Advisory firm - (2/1/2002 Approved)

Maryland

Registered Investment Advisory firm - (4/3/2024 Approved)

Michigan

Registered Investment Advisory firm - (5/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3445 N Causeway Blvd Suite 905, Metairie, LA 70002

Mailing Address

Phone number

(504) 361-7788

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	359
AUM (Assets Under Management)	$ 103,939,545

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.

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John K. Dawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John K Dawes Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY INVESTMENT STRATEGIES, LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2020

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2018

Current Firm

LEGACY INVESTMENT STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY INVESTMENT STRATEGIES, LLC

TRUST BUT VERIFY

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