Stanley A. Dash
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.
Stanley Alan Dash was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1978. Stanley had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 15 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2003 - April 23, 2016
TRADESTATION SECURITIES, INC.
October 31, 1995 - September 9, 1996
WESTMINSTER SECURITIES CORPORATION
March 2, 1993 - October 12, 1993
THE WINDMILL GROUP, INC.
December 22, 1987 - March 5, 1991
MORGAN STANLEY DW INC.
July 10, 1980 - January 12, 1988
E. F. HUTTON & COMPANY INC
January 24, 1980 - June 2, 1980
LEHMAN BROTHERS INC.
July 24, 1978 - February 4, 1980
E. F. HUTTON & COMPANY 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 15
Date: 2/22/1984
Foreign Currency Options ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
