Dana E. Malarney
Professional summary
Dana Eileen Malarney, who also goes by Dana Speicher, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Dana is registered as a RR (Registered Representative) and started their career in finance in 1999. Dana has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dana Eileen Malarney's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2014 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 18, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 18, 2014 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 18, 2014 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 10, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
December 10, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
March 6, 2015 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
March 6, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
January 21, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
January 21, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 21, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 28, 2011 - May 25, 2011
WORLD GROUP SECURITIES, INC.
March 20, 2007 - February 9, 2009
CETERA WEALTH SERVICES, LLC
November 2, 2004 - February 9, 2009
CETERA INVESTMENT SERVICES LLC
November 2, 2004 - February 9, 2009
CETERA ADVISORS LLC
November 2, 2004 - February 9, 2009
VOYA FINANCIAL ADVISORS, INC.
March 18, 2003 - February 9, 2009
CETERA WEALTH SERVICES, LLC
November 5, 2002 - January 21, 2003
CETERA FINANCIAL SPECIALISTS LLC
June 23, 1999 - January 10, 2002
PFS INVESTMENTS 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
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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