Dana Branham is a CFP-designated registered investment advisor, based in Charlotte, NC, with 18 years of industry experience.
Location
Charlotte, NC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Dana is a real estate broker making referrals, the chairman of the International Investment Committee for Alpha Kappa Alpha Sorority, and an author. These activities require minimal time commitments.
Employment History
Current Registrations
Cetera Advisors LLC
May 2025 - Present · 1 yr
Cetera Financial Specialists LLC
May 2025 - Present · 1 yr
Cetera Wealth Services, LLC
May 2025 - Present · 1 yr
Cetera Investment Services LLC
May 2025 - Present · 1 yr
Cetera Investment Advisers LLC
May 2025 - Present · 1 yr
Cetera Advisors LLCBroker
May 2025 - Present · 1 yr
Cetera Financial Specialists LLCBroker
May 2025 - Present · 1 yr
Cetera Wealth Services, LLCBroker
May 2025 - Present · 1 yr
Cetera Investment Services LLCBroker
May 2025 - Present · 1 yr
Previous Registrations
LPL Financial LLC
January 2019 - April 2025 · 6 yrs 3 mos
LPL Financial LLCBroker
January 2019 - April 2025 · 6 yrs 3 mos
VALIC Financial Advisors, INC.Broker
September 2018 - December 2018 · 3 mos
VALIC Financial Advisors, INC.
September 2018 - December 2018 · 3 mos
LPL Financial LLC
April 2012 - October 2018 · 6 yrs 6 mos
LPL Financial LLCBroker
April 2012 - October 2018 · 6 yrs 6 mos
Edward JonesBroker
January 2008 - April 2012 · 4 yrs 3 mos
Edward Jones
January 2008 - April 2012 · 4 yrs 3 mos
AXA Advisors, LLCBroker
February 2007 - October 2007 · 8 mos
State Registrations1 state
NC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.