Dennis P. Hearns
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 Patrick Hearns was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1982. Dennis had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 26 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2005 - March 30, 2023
FRED ALGER & COMPANY, LLC
June 3, 2002 - September 21, 2005
BOFA DISTRIBUTORS, INC.
August 14, 1998 - May 29, 2002
GUGGENHEIM DISTRIBUTORS, LLC
June 19, 1997 - July 31, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 10, 1996 - July 15, 1996
CAMDEN FINANCIAL SERVICES
April 15, 1992 - July 26, 1994
SEI INVESTMENTS DISTRIBUTION CO.
December 12, 1988 - September 4, 1991
FUNDS DISTRIBUTOR, LLC
October 15, 1986 - May 12, 1988
ROBERT W. BAIRD & CO. INCORPORATED
October 13, 1982 - November 6, 1986
E. F. HUTTON & COMPANY 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 8
Date: 11/6/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 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.
