Dawn Elizabeth Cote

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2026-06-29
TX	RA	APPROVED_RES	2013-01-23

DE RA
APPROVED

Since 2026-06-29
TX RA
APPROVED_RES

Since 2013-01-23

Branch Locations

655 Paper Mill Rd, Newark, DE 19711 • United States

One Bryant Park, New York, NY 10036 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Annapolis	MD	10/2002	Present

10/2002 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Annapolis, MD

Other Businesses

I*412290 For profit or not for profit: Entity For Profit Name of outside business organization: LittleStars Investment related: N Address of business: Severn, Maryland, 21144 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Other"], Start date of relationship: 11/1/2013 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Family Held, Ebay /Poshmark selling

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-06-08
S63	Uniform Securities Agent State Law Examination	1993-08-05

S66 Uniform Combined State Law Examination

2009-06-08
S63 Uniform Securities Agent State Law Examination

1993-08-05

Other Names

Dawn Elizabeth Serio
Dawn Elizabeth Serio

View on SEC IAPD