Dana P. Herrman
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.
Dana Pesky Herrman, who also goes by Dana Pesky Herman, Dana Allison Pesky, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1991. Dana had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2023 - May 2, 2024
STUART FRANKEL & CO., INCORPORATED
June 1, 2022 - August 15, 2023
LEERINK PARTNERS LLC
July 2, 2008 - June 7, 2022
SANFORD C. BERNSTEIN & CO., LLC
August 22, 1994 - July 7, 2008
J.P. MORGAN SECURITIES LLC
November 4, 1991 - August 27, 1994
LADENBURG THALMANN & CO. INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
