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Detailed Report
Dana L. Wozniak
DANA LEE WOZNIAK
CRD#: 2492852
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 3640 WEST 112TH AVENUE
WESTMINSTER, CO 80031-2130
Registration History
1995200020052010201520202025IAEDWARD JONES (CRD# 250)2007 - Present (17 years)BEDWARD JONES (CRD# 250)1997 - Present (27 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1994 - 1994 (<1 year)
License(s)

State Registrations

B
Arizona 1/19/2006
B
Nebraska 2/5/1998
B
Arkansas 1/23/2023
B
New Jersey 10/21/2021
B
California 3/20/2006
B
New York 6/5/2017
B
Colorado 6/15/2004
B
North Carolina 5/27/2008
IA
Colorado 4/20/2007
B
Ohio 3/11/2004
B
Connecticut 8/29/2022
B
Oklahoma 1/29/2009
B
Florida 8/24/2005
B
South Dakota 6/12/2023
B
Idaho 4/30/2018
B
Texas 1/2/2004
B
Illinois 2/28/2006
IA
Texas 8/20/2014
B
Kansas 1/3/1998
B
Utah 8/22/2011
B
Maine 12/11/2017
B
Washington 10/11/2010
B
Missouri 1/15/2025
B
Wyoming 6/8/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
3640 WEST 112TH AVENUE, WESTMINSTER, CO 80031-2130
Registered with this firm since 4/20/2007
B
EDWARD JONES (CRD#:250)
3640 WEST 112TH AVENUE, WESTMINSTER, CO 80031-2130
Registered with this firm since 12/2/1997
Previous Registration(s)
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B
 05/25/1994 - 09/30/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.