Dana L. Brett-levy
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 Lisa Brett-levy, who also goes by Dana Lisa Brettschneider, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1983. Dana had worked at 14 firms and has passed the Series 63, Series 3 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
October 2, 2013 - January 7, 2014
BRAVER STERN SECURITIES LLC
August 1, 2011 - March 14, 2013
CASTLEOAK SECURITIES, LP
November 13, 2009 - May 3, 2010
COHEN & COMPANY SECURITIES, LLC
June 4, 2009 - November 16, 2009
HILLTOP SECURITIES INC.
September 25, 2008 - October 20, 2008
INTL FCSTONE CREDIT TRADING LLC
January 5, 2004 - February 4, 2008
DEUTSCHE BANK SECURITIES INC.
September 23, 2002 - December 19, 2003
BNY MELLON SECURITIES LLC
September 26, 2001 - October 11, 2002
HAPOALIM SECURITIES USA, INC.
July 23, 1999 - June 23, 2000
MARKETAXESS CORPORATION
March 5, 1999 - July 13, 1999
LIMITRADER SECURITIES, INC.
November 7, 1996 - March 19, 1997
TUCKER ANTHONY INCORPORATED
January 4, 1988 - June 3, 1996
PERSHING LLC
April 3, 1984 - April 23, 1987
E. F. HUTTON & COMPANY INC
September 21, 1983 - January 4, 1984
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
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Exams
Current Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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