Dennis P. Mccarter
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 Paul Mccarter was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 8 firms and has passed the Series 7 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
December 18, 1991 - March 31, 1992
CENTEX SECURITIES, INCORPORATED
October 21, 1991 - December 16, 1991
TOLUCA PACIFIC SECURITIES CORP.
May 11, 1991 - May 28, 1991
TEXAS SECURITIES, INC.
July 23, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
March 8, 1990 - July 23, 1990
BOUCHER, OEHMKE & COMPANY
August 31, 1988 - January 20, 1990
ANDERSON, BRYANT & CO.
September 11, 1986 - March 30, 1989
WEST CONTINENTAL SECURITIES, INC.
November 2, 1983 - January 21, 1986
INCAP FINANCIAL CORPORATION
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
CENTEX SECURITIES, INCORPORATED
CRD#: 18493 / SEC#: , 8-43569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BIDDICK, BRUCE ALAN | CHIEF EXECUTIVE OFFICER | 1124697 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 16 |
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.
