Dana Wallace
Professional summary
Dana Wallace was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dana is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Dana had worked at 6 firms, which includes M.L. STERN & CO. LLC., CITICORP INVESTMENT SERVICES, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2001 - April 25, 2001
M.L. STERN & CO., LLC.
September 16, 1999 - December 14, 2000
CITICORP INVESTMENT SERVICES
December 2, 1994 - March 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1991 - December 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 1989 - July 3, 1991
LEHMAN BROTHERS INC.
October 19, 1988 - January 17, 1989
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
M.L. STERN & CO., LLC.
CRD#: 8327 / SEC#: , 8-25028
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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