Dennis M. Pennell
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 Marvin Pennell, who also goes by Denny Pennell, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 8 firms and has passed the Series 63, Series 7, 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
September 26, 2007 - July 7, 2014
QUESTAR CAPITAL CORPORATION
December 18, 2006 - August 28, 2007
CETERA ADVISORS LLC
August 28, 1997 - December 15, 2006
QUESTAR CAPITAL CORPORATION
May 15, 1996 - September 12, 1997
MARINER FINANCIAL SERVICES, INC.
December 9, 1994 - March 1, 1996
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 6, 1994 - May 15, 1995
MARINER FINANCIAL SERVICES, INC.
July 1, 1987 - November 14, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 1984 - July 29, 1987
E. F. HUTTON & COMPANY INC
March 12, 1982 - July 26, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
March 12, 1982 - July 26, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
March 12, 1982 - July 26, 1984
IDS LIFE INSURANCE COMPANY
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
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
