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Dana Jeanette Effertz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayzata, MN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-02-03
MN RA APPROVED 2019-12-13
  • TX RA
    APPROVED_RES
    Since 2025-02-03
  • MN RA
    APPROVED
    Since 2019-12-13

Branch Locations

315 Lake St E, Wayzata, MN 55391 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors Edina MN 08/2010 12/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayzata MN 12/2019 Present
Bank Of America, N.A Wayzata MN 01/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-28
S63 Uniform Securities Agent State Law Examination 2001-12-28
  • S66 Uniform Combined State Law Examination
    2010-12-28
  • S63 Uniform Securities Agent State Law Examination
    2001-12-28
Other Names
  • Dana Jeanette Gross
  • Dana Jeanette Gross
  • Dana Jeanette Effertz
  • Dana Effertz

View on SEC IAPD

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