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Dawn M Guzman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bainbridge Island, WA

Gilbert, AZ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-09
TX RA APPROVED 2013-03-01
WA RA APPROVED 2013-01-03
  • CA RA
    APPROVED
    Since 2024-10-09
  • TX RA
    APPROVED
    Since 2013-03-01
  • WA RA
    APPROVED
    Since 2013-01-03

Branch Locations

187 Parfitt Way Sw, Bainbridge Island, WA 98110 • United States

275 E Rivulon Blvd, Gilbert, AZ 85297 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bainbridge Island WA 08/2012 Present
Bank Of America, N.A. Bainbridge Island WA 02/2013 Present
Previous Registrations
  • 2003-09-03 → 2009-04-28
    Banc Of America Investment Services, Inc.
    Poulsbo, WA
    Poulsbo, WA
  • 1998-12-22 → 2002-12-31
    Banc Of America Investment Services, Inc.
    Port Orchard, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-26
S65 Uniform Investment Adviser Law Examination 1998-10-23
S63 Uniform Securities Agent State Law Examination 1993-07-22
  • S66 Uniform Combined State Law Examination
    2012-12-26
  • S65 Uniform Investment Adviser Law Examination
    1998-10-23
  • S63 Uniform Securities Agent State Law Examination
    1993-07-22
Other Names
  • Dawn Hanson
  • Dawn Shelli
  • Shelli M Guzman
  • Shelli M Hanson
  • Dawn M Hanson
  • Dawn Michelle Guzman

View on SEC IAPD

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BRACKENWOOD CAPITAL MANAGEMENT, LLC · BAINBRIDGE ISLAND, WA
RBC CAPITAL MARKETS, LLC · BAINBRIDGE ISLAND, WA
J.P. MORGAN SECURITIES LLC · BAINBRIDGE ISLAND, WA
HIDDEN COVE WEALTH MANAGEMENT · BAINBRIDGE ISLAND, WA
AGATE PASS INVESTMENT, LLC · BAINBRIDGE ISLAND, WA
MORGAN STANLEY · BAINBRIDGE ISLAND, WA
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