Dana L. Gordon
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 Lynton Gordon, who also goes by Dana Lynton Gordon, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1993. Dana had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - July 22, 2025
EAGLE STRATEGIES LLC
November 17, 2016 - July 22, 2025
NYLIFE SECURITIES LLC
June 3, 2016 - October 4, 2016
THE O.N. EQUITY SALES COMPANY
September 22, 2010 - May 26, 2016
EAGLE STRATEGIES LLC
September 9, 2008 - May 26, 2016
NYLIFE SECURITIES LLC
February 24, 2005 - January 10, 2007
TRUIST SECURITIES, INC.
February 24, 2005 - January 10, 2007
TRUIST SECURITIES, INC.
May 8, 2003 - July 30, 2008
TRUIST INVESTMENT SERVICES, INC.
August 14, 2002 - July 30, 2008
TRUIST INVESTMENT SERVICES, INC.
December 21, 2000 - March 5, 2002
WACHOVIA SECURITIES, INC.
July 8, 1999 - December 5, 2000
TRUIST INVESTMENT SERVICES, INC.
October 27, 1998 - June 18, 1999
IFG NETWORK SECURITIES, INC.
October 11, 1995 - October 26, 1998
TD AMERITRADE, INC.
May 13, 1994 - January 19, 1995
LADENBURG CAPITAL MANAGEMENT INC.
March 15, 1994 - June 10, 1994
JOSEPHTHAL & CO., INC.
July 23, 1993 - March 16, 1994
SOUTH RICHMOND SECURITIES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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 8
Date: 8/11/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
