Dawn BathoCRD Number: 4402897
Current Firm: Orion Portfolio Solutions, LLC
Dawn Batho (CRD# 4402897) is an Investment Advisor Representative working at Orion Portfolio Solutions, LLC in Omaha, NE and has over 21 years of experience in the finance industry.
Ubs Financial Services Inc.
Charles Schwab & Company, Inc.
|Brinker Capital Securities||Berwyn, PA||Nov 2021 - Current||1|
|Orion Portfolio Solutions, LLC||Omaha, NE||Dec 2004 - Current||18|
|Northern Lights Distributors, LLC||Omaha, NE||Dec 2004 - Nov 2019||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2001|
|S65||NASAA Investment Advisors Law Examination||Nov 2013|
Total Assets Under Management53,283MILLIONS
Total Number of Accounts176,366ACCOUNTS
Average Account Value$302,116
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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