Thomas C. Dawson

MERCURY CAPITAL MANAGEMENT

Lee's Summit, MO

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CRD#: 719628

Professional summary

Thomas Charles Dawson, who also goes by Thomas C Dawson, Tom Dawson, is a registered financial advisor currently at MERCURY CAPITAL MANAGEMENT, INC. located in Lee's Summit, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Thomas has worked at 9 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas C Dawson | Tom Dawson

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.

Thomas Dawson Self Employed Insurance Agent, sales of life and health insurance and fixed annuities only, 3/1996 start date to present. Semi-retired and spending 10 hours or less per week. Business is strictly insurance products and does not require licensing or registration other than with applicable states as a licensed individual life and health insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Dawson'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

February 6, 2002 - Present

MERCURY CAPITAL MANAGEMENT, INC.

RIA

CRD#: 115886

Lee's Summit, MO

Past

June 12, 1998 - October 22, 2004

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

CRD#: 34902

LEAWOOD, KS

Past

March 13, 1996 - June 3, 1998

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

May 20, 1994 - March 18, 1996

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

November 12, 1993 - May 9, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

November 11, 1991 - November 3, 1993

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

August 2, 1990 - November 19, 1991

MONARCH SECURITIES, INC.

CRD#: 2809

Past

November 25, 1980 - August 17, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 25, 1980 - August 17, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Kansas
(2/6/2002)

IAR

Missouri
(2/14/2002)

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

Series 63

Date: 8/11/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/11/1980

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MERCURY CAPITAL MANAGEMENT, INC.

CRD#: 115886 / SEC#:

Colorado

Registered Investment Advisory firm - (10/21/2003 Terminated)

Kansas

Registered Investment Advisory firm - (4/23/1998 Approved)

Missouri

Registered Investment Advisory firm - (7/27/1998 Approved)

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

Overland Park, KS

Mailing Address

Phone number

(913) 626-9330

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 14,194,255

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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Firm Stability Insights

Thomas C. Dawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Dawson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCURY CAPITAL MANAGEMENT, INC.

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

SUNSET FINANCIAL SERVICES, INC.

ENERIC FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

1717 CAPITAL MANAGEMENT COMPANY

MONARCH SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/1983

Series 6

Date: 11/11/1980

Current Firm

MERCURY CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERCURY CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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