Mari Dawn Lloyd

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2013 → 08/2020
  J.W. Cole Financial, Inc.
  Tampa, FL
• 08/2013 → 08/2020
  J.W. Cole Advisors, Inc.
  Tampa, FL
• 08/2020 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 08/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2013-08-16 → 2020-09-17
  J. W. Cole Advisors, Inc.
  Mesa, AZ
  Tampa, FL
  Mesa, AZ
  Gilbert, AZ
• 2009-04-09 → 2013-08-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Gilbert, AZ
• 2007-02-06 → 2009-03-31
  Wells Fargo Clearing Services, Llc
  Mesa, AZ
  Tempe, AZ
  Glendale, AZ

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 08/2020, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 80 HR/MO TRADING. 2) INDEPENDENT TRUSTEE FOR THE KATHRYN LEMIEUX IRREVOCABLE TRUST, 4140 E BASELINE RD, STE 101, MESA, AZ, 07/2017, INDEPENDENT TRUSTEE, NIR, 4 HR/YR, 0 HR/MO TRADING. 3) ANDERSEN PLLC, 17015 N SCOTTSDALE RD, STE 225, SCOTTSDALE AZ 85255, 04/2024, W2 EMPLOYEE, LEGAL SERVICES, NIR, 160 HR/MO - 80 HR/MO TRADING. 4) SUMMIT FINANCIAL SOLUTIONS, Gilbert AZ 85296, United States, 08/09/2020, IAR, DBA Name, INV REL, 160 HR/MO - 120 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-09
• S63 Uniform Securities Agent State Law Examination
  1999-10-15

Designations

• Certified Financial Planner

Other Names

• Dawn Lloyd
• Dawn Lloyd