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Dawson D Treadway

Ubs Financial Services Inc.

Westlake, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-06-09
  • OH RA
    APPROVED
    Since 2025-06-09

Branch Locations

2055 Crocker Road, Westlake, OH 44145 • 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
Brook Park Recreation Center Brook Park OH 06/2016 08/2017
Jackson Hewitt Ashland OH 01/2017 04/2017
Student Ashland OH 10/2007 08/2020
Northwestern Mutual Life Insurance Company Milwaukee WI 12/2017 11/2020
Northwestern Mutual Investment Services Llc Akron OH 07/2019 03/2021
Justin Sovine Akron OH 11/2020 03/2021
Amazon Cleveland OH 10/2021 05/2023
Equitable Advisors, Llc New York NY 05/2023 12/2024
Pnc Bank Middleburg Heights OH 05/2021 10/2021
Doordash Elyria OH 03/2021 06/2021
Ubs Financial Services Inc. Rocky River OH 01/2025 Present
  • 06/2016 → 08/2017
    Brook Park Recreation Center
    Brook Park, OH
  • 01/2017 → 04/2017
    Jackson Hewitt
    Ashland, OH
  • 10/2007 → 08/2020
    Student
    Ashland, OH
  • 12/2017 → 11/2020
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2019 → 03/2021
    Northwestern Mutual Investment Services Llc
    Akron, OH
  • 11/2020 → 03/2021
    Justin Sovine
    Akron, OH
  • 10/2021 → 05/2023
    Amazon
    Cleveland, OH
  • 05/2023 → 12/2024
    Equitable Advisors, Llc
    New York, NY
  • 05/2021 → 10/2021
    Pnc Bank
    Middleburg Heights, OH
  • 03/2021 → 06/2021
    Doordash
    Elyria, OH
  • 01/2025 → Present
    Ubs Financial Services Inc.
    Rocky River, OH
Other Businesses

1. Notary, since 06/2024, would need to be used for non Equitable related business purposes only

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-06-05
S63 Uniform Securities Agent State Law Examination 2023-06-10
  • S65 Uniform Investment Adviser Law Examination
    2025-06-05
  • S63 Uniform Securities Agent State Law Examination
    2023-06-10
Other Names
  • Dawson D Treadway
  • Dawson Dietz Treadway

View on SEC IAPD

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Other Investors

GREGORY STEVEN JOHNSON
KEVIN VINCENT COONEY
DOUGLAS CARL KUHLMAN
MARNIE RENEE RANDEL
THOMAS RANDALL FAIRFAX
Ryan Christopher Smeltzer
Laurel Fitzsimmons
Michael Coletta

Other Offices

PARADIGM WEALTH MANAGEMENT, LLC · WESTLAKE, OH
HIGHLAND CONSULTING ASSOCIATES INC. · CLEVELAND, OH
HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. · CLEVELAND, OH
COLETTA CAPITAL, LLC · WESTLAKE, OH
ATHLETES FINANCIAL ADVISERS, LLC · WESTLAKE, OH
MORGAN STANLEY · Westlake, OH
RAYMOND JAMES & ASSOCIATES, INC. · WESTLAKE, OH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE, OH

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