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DB

Dana G. Burns

Some features on this profile are disabled
CRD#: 2909287
DB

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 Gregory Burns was a registered financial professional .

Dana is a previously registered financial professional and started their career in finance in 1999. Dana had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

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

March 11, 2008 - December 22, 2025

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

December 19, 2006 - September 12, 2007

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

February 19, 1999 - February 1, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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: 9/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1999
General Securities Representative Examination

Current Firm

PS
PINEBRIDGE SECURITIES LLC
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.

CRD#: 5967 / SEC#: , 8-16586

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

Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Phone number
(646) 857-8132
Established
Delaware since 10/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
PINEBRIDGE INVESTMENTS HOLDINGS US LLCSOLE MEMBER
KARPIK, MICHAEL JOHNDIRECTOR1709305
MORELLI, BRIAN RCHIEF COMPLIANCE OFFICER7366072
RAMIREZ, SERGIO DANIELDIRECTOR AND PRESIDENT4637204
RUSSO, WILLIAMTREASURER6239019

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

PINEBRIDGE SECURITIES LLC

CRD#: 5967

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