Interim Chief Compliance Officer
Dawn began her securities’ career in 1993, and her experiences include call center support, branch supervision and operations, regional operations’ management, investment advisor, AML analyst, Supervision and Controls analyst, and Chief Compliance Officer of an RIA. She holds the Series 7, 9/10, 24, 53, 63, and 65 licenses and is a member of ACFE.
She is responsible for managing Concorde’s team of Sales Supervisors and Audit Manager, and also strives to work closely with the various Concorde teams and advisors to assist with process and policy improvements. She graduated from Manchester University with a Bachelors of Science in Communications and an Associate of the Arts in Broadcast Media where she also served as a member of the executive team for campus radio and as a play-by-play sportscaster for high school and college football and basketball.
In her spare time, Dawn enjoys spending time with her family and friends, being a passionate Colorado Rockies fan, volunteering, tending her garden or working her way through another cookbook.