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THOMAS HARVEY DAWES JR
THOMAS HARVEY DAWES
CRD#: 3179360
IA
Investment Adviser
B
Broker
MISSIONSQUARE RETIREMENTCRD#: 108783 YUCAIPA, CA
MISSIONSQUARE INVESTMENT SERVICESCRD#: 23189 YUCAIPA, CA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2015 - 2019 (4 years)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)2006 - 2015 (8 years)BAIG SUNAMERICA CAPITAL SERVICE... (CRD# 13158)2005 - 2006 (1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2005 (<1 year)BNYLIFE SECURITIES INC. (CRD# 5167)2003 - 2005 (1 year)BBENEFITSCORP EQUITIES, INC. (CRD# 13109)2000 - 2003 (3 years)BLUTHERAN BROTHERHOOD SECURITIE... (CRD# 4205)2000 - 2000 (<1 year)
License(s)

State Registrations

B
Alaska 1/28/2025

B
New Mexico 1/28/2025

B
Arizona 1/28/2025

B
Oregon 1/28/2025

B
California 8/17/2020

B
Utah 1/28/2025

IA
California 10/6/2020

B
Washington 1/28/2025

B
Nevada 1/28/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MISSIONSQUARE RETIREMENT (CRD#:108783)
YUCAIPA, CA
Registered with this firm since 10/6/2020

B
MISSIONSQUARE INVESTMENT SERVICES (CRD#:23189)
YUCAIPA, CA
Registered with this firm since 8/17/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/21/2015 - 09/10/2019 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) PASADENA, CA
B
04/13/2006 - 01/15/2015 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) NEWARK, NJ
B
03/21/2005 - 03/24/2006 AIG SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
B
01/20/2005 - 03/22/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
09/16/2003 - 01/20/2005 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
B
02/29/2000 - 07/14/2003 BENEFITSCORP EQUITIES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
B
02/11/2000 - 02/22/2000 LUTHERAN BROTHERHOOD SECURITIES CORP. (CRD#:4205) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.