Dane B. Ross
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.
Dane Burr Ross, who also goes by Dane Burr Ross, Dane Ross, was a registered financial professional .
Dane is a previously registered financial professional and started their career in finance in 2013. Dane had worked at 6 firms and has passed the Series 66, Series 6TO, SIE 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 29, 2024 - February 11, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 17, 2024 - September 12, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 2, 2016 - April 8, 2024
AMERITAS INVESTMENT COMPANY, LLC
December 19, 2014 - June 24, 2016
NYLIFE SECURITIES LLC
April 10, 2014 - October 2, 2014
AVANTAX INVESTMENT SERVICES, INC.
October 7, 2013 - February 11, 2014
EDWARD JONES
July 22, 2013 - February 11, 2014
EDWARD JONES
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
Series 6TO
Date: 10/29/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
