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DANA LORAINE DAVIS
DANA L PARTRIDGE, DANA LORAINE PARTRIDGE
CRD#: 1715382
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20022004200620082010201220142016201820202022IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2011 - 2021 (10 years)IAUNITED SECURITIES ALLIANCE, INC. (CRD# 36487)2002 - 2010 (8 years)IAROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2007 - 2008 (1 year)IAUNITED SECURITIES ALLIANCE, INC. (CRD# 36487)2002 - 2007 (5 years)
Disclosure(s)
View By:
1/1/2012
Judgment / Lien
Previous Registration(s)
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01/10/2011 - 12/31/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) PARKER, CO
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09/23/2002 - 12/31/2010 UNITED SECURITIES ALLIANCE, INC. (CRD#:36487) ENGLEWOOD, CO
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03/02/2007 - 10/23/2008 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) PARKER, CO
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09/23/2002 - 12/31/2007 UNITED SECURITIES ALLIANCE, INC. (CRD#:36487) GREENWOOD VILLAGE, CO
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.