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TH

Thomas Harvey Dawes

Investment Adviser Representative at MISSIONSQUARE WEALTH MANAGEMENT

Yucaipa, CACRD #3179360Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
10 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Thomas Harvey Dawes has worked in the securities industry since 2001. They are registered to provide investment advisory services in 10 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 10 states
AlaskaArizonaCaliforniaMontanaNevadaNew MexicoOregonTexasUtahWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/5/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 2/15/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/5/2015
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/10/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Missionsquare Wealth Management Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MISSIONSQUARE RETIREMENTCurrent
10/6/2020Yucaipa, CA
MISSIONSQUARE WEALTH MANAGEMENTCurrent
8/17/2020Yucaipa, CA
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
1/21/20159/10/2019Pasadena, CA
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
4/13/20061/15/2015Newark, NJ
AIG SUNAMERICA CAPITAL SERVICES, INC.
3/21/20053/24/2006Jersey City, NJ
WM FINANCIAL SERVICES, INC.
1/20/20053/22/2005Irvine, CA
NYLIFE SECURITIES INC.
9/16/20031/20/2005New York, NY
BENEFITSCORP EQUITIES, INC.
2/29/20007/14/2003Greenwood Village, CO
LUTHERAN BROTHERHOOD SECURITIES CORP.
2/11/20002/22/2000Minneapolis, MN

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Harvey Dawes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Thomas Harvey Dawes - Financial Advisor in Yucaipa, CA | AdvisorFinder