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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DAWN KIMBERLY MULLENAX

Advisor at CITIZENS SECURITIES, INC.

MIDDLEBURG HEIGHTS, OH | MIDDLEBURGH HEIGHTS, OH | Alliance, OH

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Search this name across graphsid dfx:ria:55b7c36f-311b-b55c-d42f-2c00cf2ddb47

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 17, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIZENS SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 17, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 6
Exams: S66
First exam: May 14, 2007
First registration: Oct 17, 2001
Dual registered: yes, broker-dealer
Other names: DAWN K DAY
IAPD individual key: 3247481

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jul 6, 2015	n/a	yes	Alliance, OH\|MIDDLEBURG HEIGHTS, OH\|MIDDLEBURGH HEIGHTS, OH	Current employment
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Sep 28, 2012	Jun 23, 2015	no	Cleveland, OH\|MAYFIELD HEIGHTS, OH\|Columbus, OH\|SOLON, OH	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Feb 16, 2005	May 3, 2007	no	MAYFIELD HTS, OH\|MAYFIELD HTS, OH	Previous registration
NCA FINANCIAL PLANNERS	Former SEC adviser	Oct 17, 2001	Oct 4, 2012	no	CLEVELAND, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KEY INVESTMENT SERVICES LLC	CITIZENS SECURITIES, INC.	Jun 23, 2015	Jul 6, 2015	13	Firm change	Other
NCA FINANCIAL PLANNERS	OSAIC WEALTH, INC.	Oct 4, 2012	Feb 16, 2005	-2,787	Firm change after gap	Other
OSAIC WEALTH, INC.	KEY INVESTMENT SERVICES LLC	May 3, 2007	Sep 28, 2012	1,975	Firm change after gap	Other

Relationships

Registered with (4)

→ CITIZENS SECURITIES, INC.Registered adviserregistration: current employment
Jul 6, 2015 to presentfactForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Sep 28, 2012 to Jun 23, 2015factForm ADV
→ NCA FINANCIAL PLANNERSRegistered adviserregistration: previous registration
Oct 17, 2001 to Oct 4, 2012factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Feb 16, 2005 to May 3, 2007factForm ADV

Dated events

No dated event names this entity yet.