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DS

Dana L. Spencer

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CRD#: 2791865
DS

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 Leigh Spencer, who also goes by Dana Leigh Calderwood, Dana Leigh Harris, was a registered financial professional .

Dana is a previously registered financial professional and started their career in finance in 1996. Dana had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dana Leigh Calderwood | Dana Leigh Harris

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 14, 2023 - September 25, 2024

KEEL POINT CAPITAL, LLC

BD
CRD#: 6769
LEAWOOD, KS
Past

August 20, 2015 - April 21, 2021

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

October 20, 2014 - July 31, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
OVERLAND PARK, KS
Past

October 13, 2014 - July 31, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
OVERLAND PARK, KS
Past

February 28, 2014 - September 3, 2014

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
OLATHE, KS
Past

October 15, 2010 - November 19, 2012

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

October 15, 2010 - November 19, 2012

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

November 3, 2009 - October 6, 2010

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
OVERLAND PARK, KS
Past

March 29, 2007 - June 16, 2009

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

September 13, 2006 - March 14, 2007

SANDERS BOOZE CAPITAL ADVISORS

RIA
CRD#: 125266
OVERLAND PARK, KS
Past

January 5, 2004 - September 12, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
OVERLAND PARK, KS
Past

August 29, 2003 - September 12, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
OVERLAND PARK, KS
Past

March 8, 1999 - June 19, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

July 23, 1997 - February 9, 1998

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
KANSAS CITY, MO
Past

October 18, 1996 - July 2, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
IAR
Series 65
Date: 2/3/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1996
General Securities Representative Examination

Current Firm

KP
KEEL POINT CAPITAL, LLC
BLUE CREEK | KPC | KEEL POINT CAPITAL, LLC | INVESTMENT & FINANCIAL SERVICES, INC. | BLUE CREEK SECURITIES, LLC | BLUE CREEK SECURITIES, INC.

CRD#: 6769 / SEC#: , 8-22990

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
100 Church Street Suite 500, Huntsville, AL 35801
Mailing Address
100 Church Street Suite 500, Huntsville, AL 35801
Phone number
(256) 704-5111
Established
Delaware since 10/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KEEL POINT PARTNERS, LLCSHAREHOLDER
BATES, MICHAEL LINDSAY J.D.COO/ OPERATIONS PROFESSIONAL5822091
BEATON, DANIEL STEWARTFINOP/CFO4240769
MAYES, ROBERT CARLCEO719831
PERRY, JAMES MICHAELCCO1189342
PERRY, JAMES MICHAELPRINCIPAL1189342
PERRY, JAMES MICHAELGENERAL SECURITIES PRINCIPAL1189342

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

KEEL POINT CAPITAL, LLC

CRD#: 6769

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