Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Falco is a financial advisor at RBC Capital Markets, LLC, with over 20 years of experience in the financial services industry. Dana has a broad range of experience working with a variety of clients, including high-net-worth individuals, families, businesses, and institutions. Dana has a strong track record of providing clients with personalized financial advice and investment solutions. Dana is a Registered Representative with the Financial Industry Regulatory Authority (FINRA) and a Registered Investment Advisor (RIA). Dana holds the Series 7, Series 6, Series 63, and Series 65 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TX
11/22/2017 - Present
RBC Capital Markets, LLC (TYLER TX)
TX
01/03/2014 - 11/13/2017
RBC CAPITAL MARKETS, LLC (TYLER TX)
TX
06/15/2012 - 12/31/2013
PURSHE KAPLAN STERLING INVESTMENTS (TYLER TX)
TX
05/19/2003 - 06/22/2012
NFP SECURITIES, INC. (TYLER TX)
MA
01/09/2003 - 05/29/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
MN
01/27/1999 - 01/11/2001
ASCEND FINANCIAL SERVICES, INC. (ST. PAUL MN)
IA
Issued 08/24/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/15/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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