Dana B. Vietor
Professional summary
Dana Bruce Vietor 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 13 firms, which includes CFD INVESTMENTS INC., OAKBRIDGE FINANCIAL SERVICES, CAPE SECURITIES INC., ALLIED BEACON PARTNERS INC., WORKMAN SECURITIES CORPORATION, LPL FINANCIAL LLC, THE ADVISORS GROUP INC., NATIONWIDE FUND DISTRIBUTORS LLC, LASALLE ST SECURITIES L.L.C., CETERA WEALTH SERVICES LLC, F & G SECURITIES INC., WOODBURY FINANCIAL SERVICES INC., VERAVEST INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2016 - November 13, 2018
CFD INVESTMENTS, INC.
July 25, 2014 - July 27, 2016
OAKBRIDGE FINANCIAL SERVICES
June 19, 2013 - July 22, 2014
CAPE SECURITIES INC.
October 3, 2011 - June 19, 2013
ALLIED BEACON PARTNERS, INC.
January 2, 2002 - September 30, 2011
WORKMAN SECURITIES CORPORATION
November 18, 1998 - January 2, 2002
LPL FINANCIAL LLC
February 27, 1996 - November 20, 1998
THE ADVISORS GROUP, INC.
July 14, 1994 - March 7, 1996
NATIONWIDE FUND DISTRIBUTORS LLC
March 11, 1992 - October 30, 1993
LASALLE ST SECURITIES, L.L.C.
April 26, 1990 - December 31, 1991
CETERA WEALTH SERVICES, LLC
April 7, 1987 - June 14, 1988
F & G SECURITIES, INC.
April 20, 1983 - April 24, 1985
WOODBURY FINANCIAL SERVICES, INC.
October 5, 1981 - April 29, 1982
VERAVEST INVESTMENTS, 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 62
Date: 2/19/2005
Corporate Securities Limited Representative ExaminationSeries 1
Date: 10/20/1979
Registered Representative ExaminationCurrent Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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