Dana L. Aden
Professional summary
Dana Lyn Aden, who also goes by Dana Aden, Dana Lyn Thomas, is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.
Dana is registered as a RR (Registered Representative) and started their career in finance in 1997. Dana has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dana Lyn Aden's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2007 - Present
GALLATIN CAPITAL LLC
Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022May 2, 2003 - February 6, 2006
GALLATIN CAPITAL LLC
July 17, 2000 - October 9, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2000 - May 31, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 23, 1998 - April 13, 2000
HANIFEN, IMHOFF INC.
September 26, 1997 - February 23, 1998
HANIFEN, IMHOFF INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
