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DD

Danning Dong

CRD# 5090576·Registered 2006 - 2015
Previously Registered: Being a previously registered professional could mean that Danning 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.

Professional Summary

Danning Dong was a registered financial advisor. Danning was a previously registered financial professional and started their career in finance 2006 - 2015. Danning had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

ALLSTON TRADING LLC·CRD# 125499
BD
Chicago, IL
August 5, 2013 - February 12, 2015
OBD SECURITIES LLC·CRD# 153008
BD
Chicago, IL
March 2, 2012 - June 27, 2012
OCTEG, LLC·CRD# 117429
BD
Chicago, IL
April 2, 2009 - May 25, 2010
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
September 22, 2008 - February 12, 2009
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
August 30, 2006 - September 22, 2008

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Current Firm

AT
ALLSTON TRADING LLC

ALLSTON TRADING LLC | ALLSTON TRADING, LLC

CRD#: 125499 / SEC#: 8-65807
BD
Terminated by SEC on 12/30/2014

Contact Information

Established

Illinois since 12/31/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLSTON HOLDINGS LLCPARENT/MEMBER—
BIONDO, JAY ARTHURCHIEF COMPLIANCE OFFICER5995044
DEVLIN, KEVIN WILLIAMCHIEF FINANCIAL OFFICER/FINOP—
JONES, CARLTON ROOSEVELTPRESIDENT4645926
LAZZO, STEPHEN KEITHCHIEF TECHNOLOGY OFFICER4457081
MAHAJAN, RAJ AMITCHIEF EXECUTIVE OFFICER2782381

Disclosures

Regulatory Event

5

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2006About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2015About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2009

Series 7 — General Securities Representative Examination

Passed Aug 2006About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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