Dana R. Klein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dana Robert Klein, who also goes by Dana Klein, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1983. Dana had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - August 30, 2024
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
July 12, 2012 - February 28, 2018
FORESIDE FUND SERVICES, LLC
April 5, 2011 - July 2, 2012
DESTRA CAPITAL INVESTMENTS LLC
November 30, 2004 - March 22, 2011
JANUS HENDERSON DISTRIBUTORS US LLC
March 15, 2002 - July 1, 2004
BACAP DISTRIBUTORS, LLC
April 3, 2001 - October 16, 2001
CHARLES SCHWAB & CO., INC.
August 22, 1991 - June 9, 2000
INVESCO CAPITAL MARKETS, INC.
July 20, 1983 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
CRD#: 287788 / SEC#: , 8-69912
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
