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DS

Dana F. Saraceno

COREBRIDGE CAPITAL SERVICES
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 1712414
DS

Professional summary

Dana Francis Saraceno is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Woodland Hills, California.

Dana is registered as a RR (Registered Representative) and started their career in finance in 1987. Dana has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dana Francis Saraceno's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 9, 2010 - Present

COREBRIDGE CAPITAL SERVICES, INC.

Office #1: 21650 Oxnard Avenue Suite 750, Woodland Hills, CA 91367
BD
CRD#: 13158
Woodland Hills, CA
Past

October 28, 2003 - February 2, 2010

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

August 13, 2003 - October 28, 2003

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

January 19, 1999 - June 4, 2003

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

August 17, 1998 - December 9, 1998

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

May 4, 1995 - December 9, 1998

WM FUND SERVICES, INC.

BD
CRD#: 30763
SEATTLE, WA
Past

April 10, 1995 - April 21, 1995

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

October 22, 1987 - April 10, 1995

ASTRA FUND DISTRIBUTORS CORP.

BD
CRD#: 6930
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/9/2010)
RR
Hawaii
(11/29/2010)
RR
Utah
(3/19/2024)
RR
Washington
(9/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COREBRIDGE CAPITAL SERVICES, INC.
AIG CAPITAL SERVICES, INC. | SUNAMERICA CAPITAL SERVICES, INC. | INTEGRATED RESOURCES CAPITAL SERVICES, INC. | INTEGRATED CAPITAL SERVICES, INC. | COREBRIDGE CAPITAL SERVICES, INC. | AIG SUNAMERICA CAPITAL SERVICES, INC.

CRD#: 13158 / SEC#: , 8-28733

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Phone number
(201) 324-6300
Established
Delaware since 11/05/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUNAMERICA ASSET MANAGEMENT, LLC.SHAREHOLDER
BURNETTE, CYNTHIA LEACHIEF FINANCIAL OFFICER1863103
FORTEY, MICHAELCHIEF COMPLIANCE OFFICER2304969
NASTA, CHRISTINA MARIEPRESIDENT2736888

Disclosures

Regulatory Event1

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.

Company Information

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158Woodland Hills, CA 91367

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