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Dayna Elaine Gant

CRD# 2126552·Registered 1991 - 2014
Previously Registered: Being a previously registered professional could mean that Dayna 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.

Professional Summary

Dayna Elaine Gant was a registered financial advisor. Dayna was a previously registered financial professional and started their career in finance 1991 - 2014. Dayna had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 22, Series 14, Series 28 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

APPLE LANE ADVISORY, LLC·CRD# 154808
RIA
Lancaster, MA
October 12, 2010 - October 14, 2014
APPLE LANE GROUP LLC·CRD# 129331
BD
Lancaster, MA
June 2, 2004 - October 5, 2022
AET INVESTMENT SERVICES, LLC·CRD# 40878
BD
Spokane, WA
May 20, 1999 - June 3, 2004
AMUNDI DISTRIBUTOR US, INC.·CRD# 24497
BD
Boston, MA
July 26, 1994 - October 25, 1996
BEACON HILL FINANCIAL CORPORATION·CRD# 14850
BD
Boston, MA
April 25, 1991 - April 19, 1994

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Current Firm

AL
APPLE LANE ADVISORY, LLC

APPLE LANE ADVISORY, LLC

CRD#: 154808

Contact Information

Main Address

Lancaster, MA

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1999About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1999About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Apr 1991About the Series 22 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed May 2004About the Series 28 exam

Series 24 — General Securities Principal Examination

Passed Feb 2002About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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