Dana A. Korosi
Professional summary
Dana Alexander Korosi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dana is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Dana had worked at 4 firms, which includes WALNUT STREET SECURITIES INC., INTEGRATED RESOURCES EQUITY CORPORATION, GENERAL AMERICAN LIFE INSURANCE COMPANY, FINANCIAL AMERICA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1988 - April 19, 2002
WALNUT STREET SECURITIES, INC.
August 23, 1984 - January 30, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 21, 1982 - January 29, 1988
GENERAL AMERICAN LIFE INSURANCE COMPANY
November 13, 1981 - August 31, 1984
FINANCIAL AMERICA SECURITIES, 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
Series 1
Date: 12/6/1975
Registered Representative ExaminationCurrent Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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