Dawn has been in the financial services industry for over 20 years and had the privilege of working in several roles. Primarily her career has been spent in the compliance side of the financial services industry both at a broker/dealer and investment adviser capacity.. Additionally, she owned and ran a compliance consulting business. She has attained the Series 7, 24, 63 and 65 securities licenses, is insurance licensed, and has completed the study programs for the CFP designation. Additionally, she has a paralegal diploma and a B.S. in Business Administration graduating Magna Cum Laude.
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