Dane S. Faber
Professional summary
Dane Stephen Faber was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dane is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Dane had worked at 8 firms, which includes BROOKSTREET SECURITIES CORPORATION, FIRST SECURITIES USA INC., SMITH CULVER INVESTMENTS, WEDBUSH SECURITIES INC., BIRR WILSON INC., BWS INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, CALIFORNIA MUNICIPAL INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2001 - December 12, 2001
BROOKSTREET SECURITIES CORPORATION
September 5, 1997 - March 25, 2003
FIRST SECURITIES USA, INC.
January 23, 1990 - August 29, 1997
SMITH CULVER INVESTMENTS
December 19, 1988 - January 11, 1990
WEDBUSH SECURITIES INC.
July 25, 1988 - December 21, 1988
BIRR WILSON, INC.
November 4, 1987 - August 16, 1988
BWS, INC.
March 28, 1983 - October 7, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
December 15, 1981 - July 7, 1983
CALIFORNIA MUNICIPAL INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/29/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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