Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Pullem Cox is a financial professional with over 20 years of experience in the industry. Dana is currently registered with Equitable Advisors, LLC in Cincinnati, Ohio, and has previous registrations with J.J.B. HILLIARD, W.L. LYONS, INC. and SAGE, RUTTY & CO., INC.. Dana has held various licenses and certifications, including Series 7, 10, 9, 24, 27, 63, and 65. Dana specializes in providing financial planning services to individuals, businesses, and retirement plans.
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.
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.
1
2
OH
07/16/2009 - Present
Equitable Advisors, LLC (CINCINNATI OH)
KY
05/10/2000 - 10/26/2007
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
NY
01/28/1998 - 05/04/2000
SAGE, RUTTY & CO., INC. (ROCHESTER NY)
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/29/2003
Series 24 - General Securities Principal Examination
BC
Issued 08/08/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/20/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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