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Dana Bridgett Rutherford

Nasdaq Execution Services, LLC

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About Dana Bridgett Rutherford

Dana Rutherford is a financial professional with over 16 years of experience in the financial services industry. Dana is currently registered with Nasdaq Execution Services, LLC. Dana has previously held positions with NASDAQ OPTIONS SERVICES, LLC, J.A.K. SECURITIES, INC., JFD SECURITIES, INC., and AUBREY & COMPANY. Dana holds the following licenses and certifications: Series 7, Series 24, Series 55, Series 57TO and SIE.

Firm Information

Dana Rutherford is currently registered with Nasdaq Execution Services, LLC. Nasdaq Execution Services, LLC is a Limited Liability Company formed in November 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has 10 regulatory events on file.

Not reported

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dana Rutherford’s Registration & Firm History

PA

11/25/2013 - Present

Nasdaq Execution Services, LLC (PHILADELPHIA PA)

NY

08/31/2010 - 04/08/2014

NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)

PA

02/14/2008 - 08/12/2010

J.A.K. SECURITIES, INC. (COLLEGEVILLE PA)

NY

07/02/2008 - 06/16/2010

JFD SECURITIES, INC. (NEW YORK NY)

PA

05/10/2006 - 03/28/2008

AUBREY & COMPANY (YORK PA)

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Licenses & Designations

BC

Issued 08/25/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/06/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/30/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Dana Bridgett Rutherford.
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