Dana L. Holmes
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 Lee Holmes was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1984. Dana had worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2008 - May 21, 2024
TSG CAPITAL ADVISORS
April 23, 1985 - October 23, 1986
HERMITAGE CAPITAL CORPORATION
March 15, 1984 - July 16, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TSG CAPITAL ADVISORS
CRD#: 147509 / SEC#: , 8-67910
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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