Dina A. Tantra
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.
Dina Aspy Tantra was a registered financial professional .
Dina is a previously registered financial professional and started their career in finance in 1995. Dina had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2017 - October 1, 2018
ULTIMUS FUND DISTRIBUTORS, LLC
April 2, 2009 - August 11, 2017
FORESIDE FINANCIAL SERVICES, LLC
April 10, 2008 - August 26, 2008
STONEHENGE SECURITIES, INC.
November 12, 2002 - February 29, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 6, 2002 - October 22, 2002
NATIONWIDE FUND DISTRIBUTORS LLC
September 9, 1997 - July 24, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 16, 1995 - August 4, 1997
AMERICAN CENTURY INVESTMENT SERVICES INC.
March 28, 1995 - October 12, 1995
FORESIDE DISTRIBUTION SERVICES, L.P.
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
ULTIMUS FUND DISTRIBUTORS, LLC
CRD#: 104177 / SEC#: , 8-52643
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
