Dana A. Sands
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 Allen Sands, who also goes by Dana Allen, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1987. Dana had worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 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 15, 2014 - May 8, 2015
DRIVEWEALTH INSTITUTIONAL LLC
December 1, 2006 - March 8, 2007
EVOLUTION MARKETS FINANCIAL SERVICES LLC
October 28, 2005 - October 13, 2007
ACN SECURITIES INC.
February 27, 2003 - February 16, 2005
LARKSPUR CAPITAL CORPORATION
July 31, 2000 - December 17, 2001
CITIGROUP GLOBAL MARKETS INC.
September 3, 1999 - December 12, 2000
J.P. MORGAN SECURITIES INC.
July 2, 1997 - August 27, 1999
UBS FINANCIAL SERVICES INC.
May 4, 1990 - January 12, 1996
MORGAN STANLEY & CO. LLC
January 21, 1987 - April 16, 1990
LEHMAN BROTHERS 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
Current Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
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.
