Dana R. Dawe

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CRD#: 712708

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dana Richardson Dawe was a registered financial professional .

Dana is a previously registered financial professional and started their career in finance in 1980. Dana had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7, Series 1, Series 27, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2009 - November 11, 2019

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763

GRAND RAPIDS, MI

Past

March 17, 2005 - February 26, 2007

PLANTE MORAN INSURANCE AGENCY

CRD#: 127257

SOUTHFIELD, MI

Past

August 12, 2004 - February 26, 2007

P & M CORPORATE FINANCE, LLC

CRD#: 129624

GRAND RAPIDS, MI

Past

November 22, 2002 - December 5, 2003

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

GREEN BAY, WI

Past

June 28, 2002 - November 13, 2002

CREDIT SUISSE PRIVATE ADVISORS AG

CRD#: 112892

ZURICH,

Past

May 2, 2001 - June 29, 2001

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

August 29, 1997 - May 2, 2001

OLD KENT FINANCIAL ADVISORS

CRD#: 17039

GRAND RAPIDS, MI

Past

February 10, 1997 - August 22, 1997

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

October 7, 1994 - August 22, 1997

FIRST OF AMERICA SECURITIES, INC.

CRD#: 36568

KALAMAZOO, MI

Past

March 16, 1992 - October 10, 1994

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

April 4, 1991 - March 4, 1992

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

February 22, 1990 - December 7, 1990

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 2, 1985 - February 24, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 5, 1981 - December 27, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 28, 1980 - October 10, 1981

MUTUAL SERVICE CORPORATION

CRD#: 4806

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".

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763 / SEC#: 801-106623, 8-23406

RIA

Registered Investment Advisory firm - SEC (9/17/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (9/17/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/24/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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).

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.

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 65

Date: 10/29/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 4/6/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/25/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 7/17/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/4/1996

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/10/1992

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/1992

General Securities Principal Examination

Current Firm

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763 / SEC#: 801-106623, 8-23406

RIA

Registered Investment Advisory firm - SEC (9/17/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (9/17/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/24/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

3075 Charlevoix Drive Se, Grand Rapids, MI 49546

Mailing Address

3075 Charlevoix Drive Se, Grand Rapids, MI 49546

Phone number

(616) 942-7680

Established

Michigan since 06/10/2013

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 CSC - FORM ADV PART 2A (3/31/2025)

2025 CSC APPENDIX 1 WRAP FEE BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DIEPSTRA, RYAN ANDREW	FINANCIAL ADVISOR/OWNER	4684402
HANSEN, RANDALL LEE	FINANCIAL ADVISOR/OWNER	1104122
KLUNDER, JAMES DALE	FINANCIAL ADVISOR / OWNER	1974282
BERNARDI, MARIO GIULIO	FINANCIAL ADVISOR / OWNER	1542163
KELLY, KEVIN WILLIAM	FINANCIAL ADVISOR / OWNER	2995050
OCHOA, MICHAEL ROBERT	FINANCIAL ADVISOR / OWNER	1301012
WIERENGA, JEFFREY DONALD	FINANCIAL ADVISOR / OWNER	4748730
BEESLEY, DONALD EDWARD	FINANCIAL ADVISOR / OWNER	1541425
KLINGER, ANDREW LEROY	PRESIDENT/CEO/COO/OWNER	7694999
MUSUMECI, WALTER	FINANCIAL ADVISOR/OWNER	6605061
NIEWALD, DOMINIC JOSEPH	FINANCIAL ADVISOR/OWNER	6287471
PEDDIE, JONATHAN THOMAS	FINANCIAL ADVISOR/OWNER	4451972
POWERS, JORDAN THOMAS	CHIEF COMPLIANCE OFFICER / CCO / CFO / FINOP	6711719
VANDERMOLEN, DANIEL LEE	FINANCIAL ADVISOR / OWNER	1384729

Regulatory assets under management

Total Number of Accounts	2,654
AUM (Assets Under Management)	$ 1,152,401,650

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Dana R. Dawe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PLANTE MORAN INSURANCE AGENCY

P & M CORPORATE FINANCE, LLC

ASSOCIATED INVESTMENT SERVICES, INC.

CREDIT SUISSE PRIVATE ADVISORS AG

FIFTH THIRD SECURITIES, INC.

OLD KENT FINANCIAL ADVISORS

NATCITY INSURANCE SERVICES, INC.

FIRST OF AMERICA SECURITIES, INC.

NATCITY INSURANCE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

CENTENNIAL SECURITIES COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/1997

Series 63

Date: 8/29/1980

SIE

Date: 10/1/2018

Series 15

Date: 4/6/1984

Series 3

Date: 8/25/1982

Series 7

Date: 12/19/1981

Series 1

Date: 7/17/1980

Series 27

Date: 6/4/1996

Series 53

Date: 8/10/1992

Series 24

Date: 6/26/1992

Current Firm

CENTENNIAL SECURITIES COMPANY, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTENNIAL SECURITIES COMPANY, INC.

TRUST BUT VERIFY

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