Ronald Dawson, financial advisor Lynchburg VA
56 score

Ronald Dawson

CRD Number: 5418933
Current Firm: Caitlin John, LLC

Ronald Dawson (CRD# 5418933) is an Investment Advisor Representative working at Caitlin John, LLC in Lynchburg, VA and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Caitlin John, LLC Brighton, MI Feb 2017 - Current 1
Legacy Wealth Management Group (dba) Lynchburg, VA Aug 2016 - Current 1
Waddell & Reed, Inc. Lynchburg, VA Aug 2016 - Dec 2016 < 1
Various Insurance Carriers For W&r Insurance Agencies Appomattox, VA Aug 2016 - Dec 2016 < 1
Merrill Lynch Charlottesville, VA Jan 2009 - Jul 2016 7
Unemployed Lynchburg, VA Nov 2008 - Jan 2009 < 1
Wahcovia Lynchburg, VA Jul 2006 - Nov 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2007
S65 NASAA Investment Advisors Law Examination Apr 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Ronald J. Dawson
Phone Number: 810-355-1325
Registered State(s):
  • NH
  • VA
  • NC
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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