Steven J. Dana
Professional summary
Steven John Dana, who also goes by Steven John Dana, is a registered financial professional currently at CAPSTONE PARTNERS located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2011. Steven has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven John Dana's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2024 - Present
CAPSTONE PARTNERS
Office #1: 104 West 40th Street 3rd Floor, New York, NY 10018July 26, 2021 - July 25, 2024
DRAKE STAR SECURITIES LLC
March 1, 2018 - May 3, 2021
DC ADVISORY
January 11, 2011 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2025)
Exams
FINRA
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| CASPER, MARK VERNON JR. | CHIEF FINANCIAL OFFICER | 6682711 |
| DAHLKE, STEPHEN MATTHEW | CHIEF COMPLIANCE OFFICER | 2577928 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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