DASTA Financial LLC

Registered Broker Dealer, Member FINRA

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DASTA Financial, LLC is a registered broker-dealer, registered with U.S. Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA). We are dedicated to providing top-tier brokerage services to our clients. Our team brings a wealth of knowledge and experience to help you with executing your financial objectives. DASTA Financial functions as an introducing broker. We introduce customers to APEX Clearing Corporation, our clearing and executing broker, on a fully disclosed basis. This means that you can rely on us to facilitate your investment transactions with the support of APEX Clearing Corporation's services. At DASTA Financial, we provide investment access to a wide range of NMS (National Market System) securities and Exchange-Traded Funds (ETFs). NMS securities are a vital part of the U.S. stock market, including commonly traded equities. Whether you're a seasoned investor or new to the world of finance, DASTA Financial is here to support your financial journey. We prioritize transparency, efficiency, and security in all our interactions, ensuring that your investments are managed with the utmost care. If you have any questions or need assistance, please feel free to reach out to our team of dedicated professionals.

Meet DASTA Financial's Team

Justin Ramirez - Chief Compliance Officer
Prior to joining dub, Justin was Managing Director of Percent Technologies, Inc. responsible for the establishment of the firm’s Broker Dealer compliance program and new membership application with FINRA. Before Percent, Justin was Vice President, Compliance Officer and Legal Counsel of iCapital Network, where he took ownership over the management and implementation of iCapital’s broker dealer and investment advisory compliance programs. As counsel, Justin was responsible for drafting and negotiating engagement letters, technology agreements and various selling agreements. Justin was previously a Senior Compliance Officer at Harding Loevner, an institutional investment advisor based in New Jersey, where he was responsible for compliance and legal affairs. Justin started his career at Goldman Sachs as part of the OTFS compliance group. He holds a BS degree in Business Administration from Rowan University and Juris Doctorate from Rutgers University School of Law. He holds BAR licenses in New York and New Jersey, and FINRA licenses Series 7, 24.
Kim Ryan- FinOp
Kim is a highly experienced professional with over 20 years of expertise in accounting, tax, and financial operations. Throughout her successful career, she hasheld prominent positions such as Chief Financial Officer for various brokerage, insurance, and investment advisory firms. Additionally, she served as the President of a brokerage firm, where she demonstrated her exceptional leadership abilities.One of Kim's key responsibilities in these roles was serving as the firm's FINOP, ensuring compliance with the financial reporting and regulatory requirements mandated by FINRA and the SEC. Her in-depth knowledge and expertise in this area allowed her to effectively navigate the complex landscape of financial regulations.Earlier in her career, Kim served as an Operations Manager for a registered branch office. During this time, she was entrusted with completing the FINRA membership application, showcasing her meticulous attention to detail and proficiency in regulatory processes. Her involvement in the FINRA membership process sparked her interest in assisting other firms in acquiring broker/dealer firms. In this capacity,she developed operational workflows for reporting and regulatory compliance, further solidifying her reputation as a skilled professional in the field. Kim attended Oakland University and earned a Bachelor of Science degree in Finance, providing her with a strong foundation for her career. She has also obtaineda range of licenses, including series 7, 24, 27, 63, 82, and 99, demonstrating her commitment to professional growth and staying updated on industry standards.Outside of her professional endeavors, Kim actively engages in community service. She has volunteered for esteemed organizations such as the Girl Scouts of America, Boy Scouts of America, and Gleaners food bank. Moreover, she supports local charities that provide assistance to those in need. Kim has also dedicated her time to the Troy Women's Association in Michigan, where she has contributed through volunteer work.In her leisure time, Kim cherishes moments spent with her family and indulges her passion for traveling. Exploring both familiar and new destinations brings her joy. Additionally, she is an avid fan of college football games, with a particular affinity for Michigan State University. She also enjoys attending live concerts, further enriching her cultural experiences.

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"This material is provided for informational purposes only and is not intended as, and may not be relied on in any manner as legal, investment advice, a recommendation, or an offer to sell, a solicitation of an offer to purchase or a recommendation of any interest in any security offered by DASTA Incorporated (DBA dub or its affiliates (together “dub”)). Images and video content are shown for illustrative purposes only and are shown to reflect user experience and features available on dub. Past performance is not indicative of future results. Advisory services provided by DASTA Investment, LLC (“DASTA Investments”), an SEC-registered investment adviser. Brokerage services provided to clients of DASTA Investments by APEX Clearing Corporation (“Apex”), an SEC-registered broker-dealer and member of FINRA/SIPC. The registrations and memberships above in no way imply that the SEC, FINRA, or SIPC has endorsed the entities, products or services discussed herein. Additional Information is available upon request. © 2022 DASTA Incorporated. All Rights Reserved."
Brokerage services provided by DASTA Financial, LLC, to retail customers for US-listed, registered securities and ETFs on a self-directed basis. Clearing services provided by APEX Clearing Corporation (”APEX”). Both DASTA Financial and APEX are SEC-registered broker-dealers and members of Financial Industry Regulatory Authority (“FINRA”) and Securities Investor Protection Corporation (“SIPC”). APEX has additional insurance coverage in excess of the regular SIPC limits. Additional information here. Public information about DASTA Financial, CRD No. 316477, and its membership with FINRA is available through FINRA’s Broker Check at brokercheck.finra.org or via telephone at (800) 289-9999. The registrations and memberships above in no way imply that the SEC, FINRA, or SIPC has endorsed the entities, products or services discussed herein. This site is not intended as a recommendation, offer, or solicitation to purchase or sell securities, or open a brokerage account. Securities products offered by DASTA Financial are not FDIC insured. All investments involve risk of loss and past performance of a security or portfolio does not guarantee future results. You should consult your legal, tax, or financial advisor before making any financial decisions.