Dana E. Peterson
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 Edward Peterson was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1994. Dana had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2011 - September 20, 2017
MODERN CAPITAL ADVISORS, LLC
June 22, 2011 - June 30, 2017
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
October 7, 2004 - June 23, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2003 - June 23, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1994 - September 16, 2003
ANDREW GARRETT INC.
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
Current Firm
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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