Dawn BushroeCRD Number: 5607111
Current Firm: Vanguard Advisers Inc.
Dawn Bushroe (CRD# 5607111) is an Investment Advisor Representative working at Vanguard Advisers Inc. in Scottsdale, AZ and has over 8 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|The Vanguard Group, Inc.||Scottsdale, AZ||Oct 2008 - Current||8|
|Unemployed||Goodyear, AZ||Jan 2008 - Oct 2008||< 1|
|Beneficial/hsbc||Phoenix, AZ||Jun 1996 - Dec 2007||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2008|
|S65||NASAA Investment Advisors Law Examination||Jul 2014|
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
Total Assets Under Management79,883MILLIONS
Total Number of Accounts546,930ACCOUNTS
Average Account Value$146,058
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
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