Dennis F. Conlon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Francis Conlon, who also goes by Denny Conlon, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 7 firms and has passed the Series 63, Series 65, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2013 - April 23, 2014
THE LEADERS GROUP, INC.
June 1, 2009 - February 7, 2013
MORGAN STANLEY
February 9, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 11, 2001 - November 23, 2004
TOWER SQUARE SECURITIES, INC.
September 30, 1997 - June 8, 2001
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 10, 1997 - July 30, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 18, 1981 - September 26, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 10/3/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
