DL
Dawn A. Lazarus
LRI INVESTMENTS
West Hartford, CT 06107
Some features on this profile are disabled
CRD#: 6895018
DL
Professional summary
Dawn Ann Lazarus, who also goes by Dawn Goode, Dawn Lazarus, Dawn Lazarus-goode, Dawn Lazarus-roberts, Dawn Roberts, is a registered financial advisor currently at LRI INVESTMENTS located in West Hartford, Connecticut and M HOLDINGS SECURITIES, INC. located in West Hartford, Connecticut.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Dawn has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn Goode | Dawn Lazarus | Dawn Lazarus-Goode | Dawn Lazarus-Roberts | Dawn Roberts
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) Lindberg & Ripple; 29 South Main Street, Suite 311, West Hartford, CT 06107; 03/01/2021; Insurance Representative; Sales of insurance products; Investment Related; 160 hours/month; 160 hours/month during business hours; Wages/Salary. 2) Junior Achievement of Southwest New England Inc.; 70 Farmington Avenue, Hartford, CT 06105; 04/11/2019; Director; Provide collective governance for organization to ensure success of programs and longevity of the organization; Not Investment Related; 2 hours/month; 0 hours/month during trading hours; No Compensation. 3) YWCA Hartford Region; 135 Broad Street, Hartford, CT 06105; 04/08/2022; Director; Board of Directors provides collective governance of the organization to ensure corporate health and effectiveness; Not Investment Related; 3 hours/month; 0 hours/month during business hours; No Compensation. 4) Charitable Gift Planners of Connecticut; 95 West Street Rocky Hill CT, 06067; Board; Not Investment Related; Board of Directors, Chair; Ensure organizations seminars and events are inclusive; 12/04/2023; 2 hours per month; 0 hours per month during trading hours. 5) LRI Investments, LLC; 3825 PGA Blvd Suite 303 Palm Beach Gardens, FL 33410; Registered Investment Advisor; Investment Related; Investment Advisor; Advising investment clients; 1/1/2024; 160 hours per month; 160 hours per month during trading hours. 6) The Lisa Lazarus for City Council of West Hartford, Connecticut Campaign Committe; Non Investment-related; 194 Mohegan Drive, West Hartford, CT 06117; 4/25/2025; Treasurer; Attends campaign events and processes donations for state reporting; 10 hours a month outside of business hours; no compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Ann Lazarus'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®
NoneExperience
Current
April 3, 2024 - Present
LRI INVESTMENTS
Office #1: 29 South Main Street Suite 210, West Hartford, CT 06107RIA
CRD#: 323556
West Hartford, CT
Current
March 5, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 29 South Main St., Ste 311, West Hartford, CT 06107RIA
BD
CRD#: 43285
West Hartford, CT
Past
March 5, 2021 - April 1, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PORTLAND, OR
Past
April 10, 2018 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
March 2, 2018 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
Registered Investment Advisory firm - (4/12/2024 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/18/2022)
RR
Connecticut(3/5/2021)
IAR
Connecticut(4/3/2024)
RR
Florida(12/9/2022)
RR
Massachusetts(3/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
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Contact information
Main Address
3825 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(561) 323-2265
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,295 |
| AUM (Assets Under Management) | $ 1,404,038,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
