Steven Paul Dawson

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

243 Wall St, Kingston, NY 12401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Linsco/Private Ledger Corp.	Saugerties	NY	11/2000	Present

11/2000 → Present

Linsco/Private Ledger Corp.

Saugerties, NY

Other Businesses

1. 3/25/2009 - DBA ONLY - SAFETY HARBOR FINANCIAL - SAUGERTIES, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-04-23
S63	Uniform Securities Agent State Law Examination	1993-04-16

S65 Uniform Investment Adviser Law Examination

1993-04-23
S63 Uniform Securities Agent State Law Examination

1993-04-16

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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