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Dennis F. Riggi

Some features on this profile are disabled
CRD#: 1052272
DR

Professional summary

Dennis Frank Riggi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Dennis had worked at 12 firms, which includes SPECTRUM SECURITIES INC., CAPITAL MARKETS GROWTH CORPORATION, COLUMBUS FINANCIAL INC., CARTWRIGHT AND WALKER SECURITIES INCORPORATED, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, REMINGTON SECURITIES INC., YAEGER SECURITIES INC., ELLMAN & HOWE SECURITIES, J.P. MORGAN SECURITIES LLC, MORGAN STANLEY DW INC., MONTANO SECURITIES CORPORATION, DONALD SHELDON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 27, 1997 - May 8, 1997

SPECTRUM SECURITIES, INC.

BD
CRD#: 29305
AROURA HILLS, CA
Past

November 30, 1994 - December 12, 1997

CAPITAL MARKETS GROWTH CORPORATION

BD
CRD#: 36302
VENTURA, CA
Past

July 19, 1994 - August 23, 1994

COLUMBUS FINANCIAL, INC.

BD
CRD#: 22709
BEVERLY HILLS, CA
Past

January 21, 1993 - December 19, 1993

CARTWRIGHT AND WALKER SECURITIES, INCORPORATED

BD
CRD#: 23504
LOS ANGELES, CA
Past

October 18, 1990 - November 8, 1991

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

November 9, 1988 - May 25, 1990

REMINGTON SECURITIES, INC.

BD
CRD#: 16695
Past

May 5, 1987 - August 17, 1987

YAEGER SECURITIES, INC.

BD
CRD#: 10118
Past

April 27, 1987 - November 15, 1988

ELLMAN & HOWE SECURITIES

BD
CRD#: 16402
Past

October 3, 1986 - April 10, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

August 23, 1985 - October 8, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

June 22, 1983 - April 16, 1985

MONTANO SECURITIES CORPORATION

BD
CRD#: 7887
Past

July 12, 1982 - July 30, 1985

DONALD SHELDON & CO., INC.

BD
CRD#: 6966

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/6/1982
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/1993
General Securities Principal Examination

Current Firm

SS
SPECTRUM SECURITIES, INC.
PROGRESSIVE ASSET MANAGEMENT LATINA AMERICANA, INC. | SPECTRUM SECURITIES, INC.

CRD#: 29305 / SEC#: , 8-44217

BD
Cancelled by SEC on 03/30/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

SPECTRUM SECURITIES, INC.

CRD#: 29305

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