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Robert Brennan Dawson

Dawson Investment Management

Walnut Creek, CA

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Current Employers
Dawson Investment Management

2910 Camino Diablo Suite 110, Walnut Creek, CA 94597 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-12-23
CA RA APPROVED 2021-02-04
  • TX RA
    APPROVED_RES
    Since 2021-12-23
  • CA RA
    APPROVED
    Since 2021-02-04

Branch Locations

2910 Camino Diablo Suite 110, Walnut Creek, CA 94597 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Walnut Creek CA 07/2014 08/2017
Lpl Financial, Llc Walnut Creek CA 08/2017 06/2022
Dawson Investment Management Walnut Creek CA 01/2021 Present
Previous Registrations
Other Businesses

1. 2/2/2018 - No Business Name - Investment Related - Non-Variable Insurance Trails Only - Started 08/30/2017 - 0 Hours Per Month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-28
S63 Uniform Securities Agent State Law Examination 2002-04-15
  • S65 Uniform Investment Adviser Law Examination
    2014-11-28
  • S63 Uniform Securities Agent State Law Examination
    2002-04-15

View on SEC IAPD

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BURTON ENRIGHT WELCH
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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