Ronald DawsonCRD 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.
Hsc Wealth Advisors
Hsc Wealth Advisors
|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|
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
Total Assets Under Management111MILLIONS
Total Number of Accounts1,365ACCOUNTS
Average Account Value$81,465
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
FL, GA, IL, IN, KY, MI, NC, NH, NJ, PA, TN, TX, VA
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