Dana C. James
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 Christine James, who also goes by Dana Christine Lowder, Dayna Reynolds, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 2007. Dana had worked at 5 firms and has passed the Series 66, Series 65, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2019 - August 30, 2022
HUBBELL CONSULTING, LLC
November 29, 2017 - October 1, 2019
SHEPHERD KAPLAN LLC
March 29, 2016 - December 31, 2016
SHEPHERD KAPLAN LLC
May 1, 2015 - February 4, 2016
KESTRA INVESTMENT SERVICES, LLC
March 14, 2011 - January 12, 2015
HUBBELL CONSULTING, LLC
October 21, 2009 - January 27, 2011
MORGAN STANLEY
September 22, 2009 - January 27, 2011
MORGAN STANLEY
January 16, 2007 - October 7, 2009
BB&T ASSET MANAGEMENT, 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
Current Firm
HUBBELL CONSULTING, LLC
CRD#: 140327 / SEC#: 801-85193
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 147,033,142 |
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.
