Dayna S. Tonseth
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.
Dayna Sue Tonseth, who also goes by Dana S Patton, Dayna Sue Patton, Dayna Tonseth, Dana Patton West, was a registered financial professional .
Dayna is a previously registered financial professional and started their career in finance in 1989. Dayna had worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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
June 22, 2023 - August 6, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 16, 2023 - August 6, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 17, 2021 - June 20, 2023
NORTHERN TRUST SECURITIES, INC.
April 7, 2021 - June 20, 2023
NORTHERN TRUST SECURITIES, INC.
February 24, 2020 - February 5, 2021
ASSETMARK BROKERAGE, LLC
July 26, 2019 - November 26, 2019
M. S. HOWELLS & CO.
October 29, 2018 - January 29, 2019
MML INVESTORS SERVICES, LLC
December 6, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 20, 2011 - November 30, 2017
MML INVESTORS SERVICES, LLC
April 24, 2007 - December 21, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 4, 2005 - December 31, 2005
INVESTMENT CENTERS OF AMERICA, INC.
January 5, 2005 - March 11, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 27, 2002 - January 2, 2003
CAPITAL BROKERAGE CORPORATION
February 25, 1998 - April 4, 2000
BANC ONE SECURITIES CORPORATION
February 21, 1996 - January 23, 1998
CHARLES SCHWAB & CO., INC.
February 21, 1991 - December 31, 1995
CITISTREET EQUITIES LLC
October 4, 1989 - May 24, 1991
HILLTOP SECURITIES INC.
Primary Firm SEC Registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 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.
