Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Goldfarb is an investment advisor representative with Raymond James & Associates, Inc. Dana has over 40 years of experience in the financial services industry. Dana has experience working with individuals, high-net-worth individuals, corporations, businesses, trusts, estates, charitable organizations, insurance companies, banking or thrift institutions, and pension and profit-sharing plans. Dana has earned the Series 7, 8, 9, 10, 15, 31, 63, and 65 licenses, and the SIE exam. Dana is registered with the state of California, and is also registered in 24 other states.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/21/2010 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
11/24/2004 - 02/19/2010
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
MO
11/27/2000 - 11/29/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
CA
04/17/1995 - 12/14/2000
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MO
09/04/1990 - 04/05/1995
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
06/22/1987 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
04/24/1980 - 06/30/1987
PAINEWEBBER INCORPORATED
IA
Issued 01/23/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/07/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/01/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 04/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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