Chief Compliance Officer · USA Financial Exchange
Dawn M Thomason
CRD 5275125 · Named on Form ADV at 3 SEC-registered advisers
At a glance
USA Financial Exchange, an SEC-registered wealth manager based in ADA, MI with $1.6 billion in regulatory assets, lists Dawn M Thomason on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Dawn at 2 other registered advisers.
Firms and roles
- USA Financial ExchangeChief Compliance OfficerWealth manager · ADA, MI · $1.6B in regulatory assets
- USA Financial Formulas CorporationChief Compliance OfficerWealth manager · ADA, MI · $534M in regulatory assets
- USA Financial Securities LLCChief Compliance OfficerBroker-dealer firm · ADA, MI · $297M in regulatory assets
AtlasMembers
Dawn’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 3 firmsLocked
- Control-person status
- 3 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Michael David WaltersCEO, USA Financial Exchange
- Brent David EndersPresident/manager, USA Financial Exchange
- William Clayton BachertChief Financial Officer, USA Financial Exchange
- Mark Robert MersmanChief Marketing Officer, USA Financial Exchange
- James Carroll Jr McConnellChief Operations Officer, USA Financial Exchange
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Dawn’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.