Dawn Williamson Lucy

Advisor at Wells Fargo Clearing — Gadsden, AL S 7th St

Updated today

Credentials

Series 63, Series 66

Experience

11 years

Location

Gadsden, AL 35901

Wells Fargo Clearing logo

Wells Fargo Clearing

Institution

Total advisors

14,124

Across 1,522 offices

Clients per advisor

92 Typical

Avg AUM per client

$475,575 High

HNW client ratio

50% Very High

About

Dawn Lucy is a Financial Advisor with Merrill Lynch Wealth Management, based in downtown Gadsden. She has over 18 years of experience in the financial services industry, focusing on individuals, couples, families, and small business owners. Dawn helps create tailored financial strategies that prioritize building a legacy alongside financial security. Her expertise includes family wealth management strategies, legacy planning, women and wealth, and tax minimization.

Dawn holds a Bachelor's Degree from the University of South Alabama and holds professional designations as a CERTIFIED PLAN FIDUCIARY ADVISOR (CPFA) and Personal Investment Advisor (PIA). She engages closely with her clients to understand their unique needs and goals, providing ongoing advice and guidance as their financial situations evolve.

Outside of her professional work, Dawn is actively involved in her local community, serving in roles such as Etowah County United Way Loaned Executive and Etowah County Chamber Ambassador. She is also a member of Gadsden Altrusa and Gadsden Rotary Club and volunteers annually with United Way Day of Action. Dawn and her husband, Steve, are involved in their church community, where Steve has served as a bi-vocational pastor for over 21 years. They enjoy spending time together hiking, kayaking, attending concerts, and various outdoor activities.

Client services

Based on Wells Fargo Clearing

Financial planning Portfolio management Pension consulting Selection of other advisers
Investment consulting services to institutional clients

Expertise

Wealth management General retirement planning General estate planning guidance Tax strategies for small businesses Family Business

Occupation focus

Founder/Business Owner

Demographic focus

Married/Couples/Partners Parents Women Professionals

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Fee options

Fixed

One-time service fees payable immediately after service; ongoing fees paid quarterly

Percentage

$0 - $1,000,000: 0.1% to 1.0% annually $1,000,000 - $5,000,000: 0.1% to 0.7% annually $5,000,000 - $10,000,000: 0.1% to 0.5% annually $10,000,000 - $25,000,000: 0.01% to 0.25% annually

Commissions

Brokerage transactions generate commissions; Financial Advisors receive a percentage of revenue from commissions

Other

Minimum fee: Minimum fees range from $500 to $5,000 depending on plan size Fee-only: Flat annual fees and percentage of assets fees available; fees are negotiable

Location

See office

Gadsden, AL S 7th St

250 S 7th St

Gadsden AL 35901

Advisors at this office

2

Most active in

Alabama · Texas

Work history

11 years of industry experience

Wells Fargo Clearing Services, Llc (

2026 - Present • 1 year

Steele, AL

Bank of America, N.A.

2023 - 2026 • 3 years

Gadsden, AL

Merrill

2023 - 2026 • 3 years

Gadsden, AL

FIdelity Investments

2020 - 2023 • 3 years

Birmingham, AL

Edward Jones

2018 - 2020 • 2 years

St Louis, MO

Regions Bank

2016 - 2018 • 2 years

Gadsden, AL

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

user avatar

Tommie G

Series 63, Series 65

Gadsden, AL

Goggans Group Inc

Tommie Goggans is the sole advisor at Goggans Group Inc, an independent firm based in Gadsden, Alabama. He holds Series 63 and Series 65 licenses and has 21 years of industry experience, including 13 years with Goggans Group Inc. Goggans Group Inc is a fee-only investment adviser serving individual and small business clients with discretionary portfolio management and integrated financial planning. The firm emphasizes asset allocation and primarily uses exchange-traded funds, supplemented by stocks and bonds, to manage portfolios on a discretionary basis while incorporating client preferences and market conditions.

General retirement planning Cash flow / budgeting
user avatar

Charles J

Series 65

Glencoe, AL

Longview Financial Advisors, Inc.

Charles Johnson is a financial advisor at Longview Financial Advisors, Inc. in Glencoe, AL, holding a Series 65 designation with six years of industry experience. He has been with Longview Financial Advisors since 2010. Longview Financial Advisors provides financial planning and portfolio management services to individuals, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm employs a research-driven, multi-asset class approach and offers discretionary and non-discretionary advisory services, pension consulting, and planning-only engagements.

General retirement planning Retirement income strategy Charitable giving & philanthropy Tax strategies for small businesses Private / alternative investments Retired Founder/Business Owner
user avatar

John D

Series 66

Gadsden, AL

Level Four Advisory Services

John Day II is a financial advisor at Level Four Advisory Services with one year of industry experience. He holds a Series 66 designation and previously worked at Bain & Company for seven years. His background also includes roles at AssetVault and the University of Virginia. Level Four Advisory Services is an SEC-registered investment adviser managing approximately $6.5 billion and serving individuals, corporations, retirement plans, and municipal entities. The firm provides financial planning, asset management, retirement-plan consulting, and fiduciary services through model portfolios, wrap platforms, and sub-advisors.

Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Tax strategies for small businesses Wealth management Founder/Business Owner Executive
user avatar

Bryan M

Series 63, Series 66

Gadsden, AL

T. Rowe Price Advisory Services, Inc.

Bryan Mc Cain is a financial advisor with T. Rowe Price Advisory Services, Inc., holding Series 63 and Series 66 credentials and bringing 21 years of industry experience. He has been with T. Rowe Price since 2017 and previously worked at Mutual of Omaha Insurance Company and Mutual of Omaha Investor Services from 2016 to 2017. T. Rowe Price Advisory Services offers a retirement-focused advisory service that combines financial planning, retirement income planning, and discretionary investment management using model portfolios invested exclusively in T. Rowe Price mutual funds and ETFs. The service targets individual investors and households aiming for retirement goals and features electronic enrollment and proprietary fund investments.

General retirement planning Retirement income strategy Social Security optimization Roth conversion strategy Tax-loss harvesting Retired
user avatar

Brian N

Series 63, Series 65

Rainbow City, AL

Cetera

Brian Nelson is a financial advisor with Cetera who holds the Series 63 and Series 65 licenses and has 19 years of industry experience. His prior roles include positions at OSAIC, N&P Private Wealth Management, SagePoint Financial, and MWA Financial Services. Nelson is a co-founder and board member of Mayhem Missions, a fitness-based nonprofit organization. Cetera Investment Advisers LLC is an SEC-registered firm serving a broad client base including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with discretionary and non-discretionary portfolio management, financial planning, and access to a range of third-party managers.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive

Micah L

Series 66

Gadsden, AL

Merrill

Micah Langston is a Financial Advisor with Merrill Lynch Wealth Management, serving individuals, families, and small business owners by providing personalized financial guidance. He focuses on building strong relationships and understanding clients' unique goals to deliver strategies aimed at growing, preserving, and effectively using wealth. Micah emphasizes a planning-first approach that aligns financial decisions with broader life priorities, including retirement planning, investment management, risk management, and multigenerational planning. He holds a Bachelor's Degree from the University of Alabama System and maintains the Personal Investment Advisor (PIA) designation. His expertise includes employee benefits planning, managing new wealth, personal retirement planning, small business strategies, and working with clients in sports and entertainment sectors. Micah is also involved with professional and community organizations such as the Church of the Highlands, and volunteers with the Local Juvenile Center, Ronald McDonald House, and Samaritan's Purse - Operation Christmas Child. Outside of his professional role, Micah enjoys golfing, painting, pickleball, skiing, table tennis, and volleyball.

General retirement planning Wealth management Retirement income strategy Business ownership considerations Multi-generational wealth transfer Founder/Business Owner Financial Professional Established Professionals Parents Married/Couples/Partners
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