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DG

Dana L. Goldstein

HALO SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1993607
DG

Professional summary

Dana Lynn Goldstein, who also goes by Dana Lynn Kaplan, is a registered financial professional currently at HALO SECURITIES, LLC located in Chicago, Illinois.

Dana is registered as a RR (Registered Representative) and started their career in finance in 1990. Dana has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dana Lynn Kaplan

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 Lynn Goldstein's CRS (Customer Relationship Summary).
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

July 29, 2022 - Present

HALO SECURITIES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606
BD
CRD#: 279029
Chicago, IL
Past

June 23, 2010 - June 30, 2022

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Lincoln, NE
Past

April 10, 2001 - March 31, 2003

AFD, INC.

BD
CRD#: 34047
NORTHBROOK, IL
Past

March 20, 2001 - September 20, 2011

ALFS, INC.

BD
CRD#: 32201
NORTHBROOK, IL
Past

March 12, 2001 - December 1, 2021

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

November 20, 2000 - March 6, 2001

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

August 1, 2000 - March 6, 2001

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

April 5, 1990 - August 1, 2000

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL

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
Illinois
(7/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/4/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/1992
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HALO SECURITIES, LLC
HALO SECURITIES | SENTINUS-HALO SECURITIES, LLC | SENTINUS-HALO SECURITIES | SENTINUS SECURITIES LLC | HALO SECURITIES, LLC

CRD#: 279029 / SEC#: , 8-69655

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

Main Address
200 West Jackson Suite 1800, Chicago, IL 60606
Mailing Address
200 West Jackson Suite 1800, Chicago, IL 60606
Phone number
(847) 687-9460
Established
Illinois since 02/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HALO INVESTING, INC.OWNER
BELKA, THOMAS JAMESFINOP2974998
GOLDSTEIN, DANA LYNNCHIEF COMPLIANCE OFFICER1993607
RADGOWSKI, MATTHEW JOSEPHCEO2510172

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

HALO SECURITIES, LLC

CRD#: 279029Chicago, IL 60606

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