Dennis J. Holcomb
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 John Holcomb was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2000 - January 6, 2003
PRIME CAPITAL SERVICES, INC.
February 22, 1999 - December 31, 1999
PRIME CAPITAL SERVICES, INC.
May 22, 1998 - February 22, 1999
OSAIC WEALTH, INC.
September 8, 1997 - December 31, 1997
HOCHMAN & BAKER SECURITIES, INC.
March 7, 1986 - October 21, 1987
EQUITABLE ADVISORS, LLC
February 14, 1986 - October 1, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 27, 1985 - January 13, 1986
E. F. HUTTON & COMPANY INC
June 25, 1982 - September 18, 1984
THOMSON MCKINNON SECURITIES 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
Current Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
