Deborah Lynn Dana
Professional Summary
Based in Los Angeles, Deborah Dana brings more than 30 years of securities experience and is currently registered with Hightower Securities. Licensed exams include Series 7 (ability to buy and sell many types of investments), Series 24 and 14 (authority to supervise and oversee compliance), Series 99 (operations), and the SIE (basic industry knowledge). Approved by FINRA. Many clients seek Deborah for help organizing investment accounts and planning for retirement or managing ongoing portfolios. She...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
As Chief Operating Officer, Deborah oversees Operations, Advisory Support and key strategic initiatives. During her time at Bel Air, Deborah has served in roles of increasing responsibility, acting previously as a Compliance Officer and Operations & Human Resources Manager. Prior to joining Bel Air in 2005, she held positions as Assistant Vice President, Manager of Conversions/New Client Implementation and Client Relationship Manager for Fiserv Securities, a custodian and clearing firm. Deborah also served as Vice...
Other Aliases
There are no additional aliases reported.
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Contact Information
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
Contact Information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Phone Number
(312) 962-3800Established
Illinois since 06/28/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | — |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SANGEKAR, JASON A | CHIEF EXECUTIVE OFFICER | 5159857 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view DEBORAH LYNN DANA's CRS (Customer Relationship Summary).
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