Cory G. Wachowiz

DAWSON JAMES ASSET MANAGEMENT

BOCA RATON, FL 33431

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CRD#: 6994723

Professional summary

Cory Grant Wachowiz is a registered financial advisor currently at DAWSON JAMES ASSET MANAGEMENT, INC. located in Boca Raton, Florida and DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Cory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Cory has worked at 2 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Cory Grant Wachowiz'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

January 8, 2021 - Present

DAWSON JAMES ASSET MANAGEMENT, INC.

Office #1: 2700 N. Military Trail Suite 100, Boca Raton, FL 33431

RIA

CRD#: 135259

BOCA RATON, FL

Current

February 9, 2019 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 2700 N. Military Trail Suite 100, Boca Raton, FL 33431

CRD#: 130645

BOCA RATON, FL

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.

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

Florida
(2/9/2019)

IAR

Florida
(1/8/2021)

New York
(8/28/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 7/22/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 2/9/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/13/2018

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

DAWSON JAMES ASSET MANAGEMENT, INC.

DAWSON JAMES ASSET MANAGEMENT, INC. | JS CAPITAL ADVISERS

CRD#: 135259 / SEC#:

California

Registered Investment Advisory firm - (3/2/2026 Termination Requested)

Florida

Registered Investment Advisory firm - (9/28/2005 Approved)

Illinois

Registered Investment Advisory firm - (3/2/2026 Termination Requested)

Maryland

Registered Investment Advisory firm - (3/2/2026 Termination Requested)

New York

Registered Investment Advisory firm - (3/2/2026 Terminated)

Texas

Registered Investment Advisory firm - (3/2/2026 Termination Requested)

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

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Mailing Address

Phone number

(561) 391-5555

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Cory G. Wachowiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Grant Wachowiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAWSON JAMES ASSET MANAGEMENT, INC.

DAWSON JAMES SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2019

Series 79TO

Date: 7/22/2022

Series 7TO

Date: 2/9/2019

SIE

Date: 11/13/2018

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

DAWSON JAMES ASSET MANAGEMENT, INC.

Contact information

Documents

Red Flags

Company Information

DAWSON JAMES ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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