John Edward Dawson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 07/2011 → Present
  Lpl Financial Llc
  Kitty Hawk, NC

Previous Registrations

• 2007-11-28 → 2011-07-05
  Uvest Financial Services Group, Inc.
  Nags Head, NC
  Kitty Hawk, NC
  Raleigh, NC
  Kitty Hawk, NC
  Engelhard, NC
  Fairfield, NC
  Columbia, NC
  Hags Head, NC
  Hatteras, NC
  Ocracoke, NC
  Creswell, NC
  Swan Quarter, NC
  Avon, NC
  Currituck, NC
  Hertford, NC
  Nags Head, NC

Other Businesses

1. 8/30/2013 - SEAGATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/27/2013 - MAPLE CREEK HOLDINGS, INC. - Investment Related - Business Entity For Tax/Investment Purposes Only - Time Spent 0% - ESTABLISHED A CORPORATION FOR TAX PURPOSES. AT THIS TIME, I ANTICIPATE THAT THE COMPANY WILL ACT MERELY AS A CONDUIT. I DO NOT INTENDED TO OPERATE ANY OTHER BUSINESSES THROUGH THIS CORPORATION. 3. 6/20/2019 - Seagate Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/01/2019 - 150 Hours Per Month/150 Hours During Securities Trading. 4. 09/15/2025 - Carolinas - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:09/12/2025 - 40 Hrs/Mth - 40 Hrs During Trading. 5. 12/15/2025 - Emerald Ballast Properties, LLC - Real Estate Rental - Greenville, NC - Investment Related - Start Date 12/01/2017 - 10 hours per month/ 0 hours during trading 6. 12/17/2025 - Solace Lifestyle Properties - Real Estate Rental - The Villages, FL - Investment Related - Start Date 01/01/2026 - 10 hours per month/ 0 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2007-11-27
• S63 Uniform Securities Agent State Law Examination
  1998-11-07