DEBORAH L. DANA
HIGHTOWER SECURITIES | Chief Operating Officer/Partner
Los Angeles, CA 90067
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CRD#: 2427640
Professional summary
DEBORAH LYNN DANA is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Los Angeles, California.
DEBORAH is registered as a RR (Registered Representative) and started their career in finance in 1993. DEBORAH has worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
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 President of Client and Brokerage Services for WM Financial Services Inc. (Washington Mutual Bank’s Broker/Dealer).
She received a B.S. in Business Management from California State University, Long Beach and holds FINRA Licenses including the Series 7, 63 and 24. A runner, Deborah has completed the New York and Los Angeles Marathons, and enthusiastically serves as Treasurer of her homeowners association.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view DEBORAH LYNN DANA's 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®
NoneExperience
Current
June 25, 2025 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 1999 Avenue Of The Stars Suite 3200, Los Angeles, CA 90067BD
CRD#: 116681
Los Angeles, CA
Past
January 17, 2006 - November 1, 2021
BEL AIR SECURITIES LLC
BD
CRD#: 134953
LOS ANGELES, CA
Past
April 25, 2005 - July 31, 2006
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
LOS ANGELES, CA
Past
January 3, 2003 - November 2, 2004
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
Past
July 14, 1997 - December 18, 2002
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
October 15, 1996 - July 14, 1997
ASB FINANCIAL SERVICES
BD
CRD#: 24280
IRVINE, CA
Past
December 1, 1993 - October 1, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 2/26/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 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 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Chief Operating Officer/PartnerCRD#: 116681Los Angeles, CA 90067TRUST BUT VERIFY
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Contact information
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