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SD

Steven G. Dash

Some features on this profile are disabled
CRD#: 2438498
SD

Professional summary

Steven Gary Dash was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Steven had worked at 10 firms, which includes HALLMARK INVESTMENTS INC., GUNNALLEN FINANCIAL INC, NATIONAL SECURITIES CORPORATION, WESTROCK ADVISORS INC., SANDGRAIN SECURITIES LLC, HAPOALIM SECURITIES USA INC., STUART COLEMAN & CO. INC., HAMPSHIRE SECURITIES CORPORATION, PRUDENTIAL EQUITY GROUP LLC, NICHOLS SAFINA LERNER & CO. INC..

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 28, 2005 - June 5, 2017

HALLMARK INVESTMENTS, INC.

BD
CRD#: 135003
NEW YORK, NY
Past

January 2, 2003 - October 25, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

September 24, 2002 - January 7, 2003

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

April 24, 2002 - September 17, 2002

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

October 31, 2001 - April 26, 2002

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

June 1, 1999 - November 5, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

May 27, 1997 - June 1, 1999

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

November 9, 1995 - June 16, 1997

HAMPSHIRE SECURITIES CORPORATION

BD
CRD#: 19725
NEW YORK, NY
Past

November 30, 1994 - November 22, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 16, 1994 - December 9, 1994

NICHOLS, SAFINA, LERNER & CO. INC.

BD
CRD#: 35476
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
RR
Series 63
Date: 12/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/17/2003
General Securities Principal Examination

Current Firm

HI
HALLMARK INVESTMENTS, INC.
HALLMARK INVESTMENTS, INC.

CRD#: 135003 / SEC#: , 8-66881

BD
Terminated by SEC on 11/10/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/26/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HALLMARK INVESTMENTS HOLDING CORPORATIONOWNER
DASH, STEVEN GARYCEO2438498

Disclosures

Regulatory Event7
Arbitration1

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.

Company Information

HALLMARK INVESTMENTS, INC.

CRD#: 135003

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