Larry Dawson (CRD# 1276518) is an Investment Advisor Representative working at Signator Investors, Inc. in Rochester, MN and has over 33 years of experience in the finance industry.
CRD# 5107890
Waddell & Reed
Score
100
CRD# 5186495
Cetera Advisor Networks LLC
Score
100
CRD# 4847079
Northwestern Mutual Investment Services,llc
Score
98
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Signator Investors, Inc. | Webster City, IA | May 2016 - Current | 1 |
| Transamerica Financial Advisors, Inc. | Webster City, IA | Jan 1998 - May 2016 | 18 |
| Life Investors Insurance Co Of Am | Webster City, IA | Apr 1980 - May 2016 | 36 |
| Financial Investment Group | Webster City, IA | Aug 2001 - Jul 2012 | 10 |
| Dawson Horse Racing | Webster City, IA | Oct 2002 - Jun 2010 | 7 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1985 |
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:- Customer Dispute
- IA
- TX
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Total Assets Under Management5,538MILLIONS
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Total Number of Accounts29,854ACCOUNTS
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Average Account Value$185,489
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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