Dennis J. Jaeger
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 James Jaeger was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2001 - June 12, 2002
TRANSMARKET GROUP L.L.C.
September 21, 1999 - February 12, 2001
RUMSON CAPITAL, LLC
July 1, 1997 - May 6, 1998
COMMERZBANK CAPITAL MARKETS CORP.
August 6, 1996 - June 25, 1997
HSBC SECURITIES (USA) INC.
February 16, 1995 - July 31, 1996
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
January 19, 1983 - January 23, 1995
UBS SECURITIES LLC
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
TRANSMARKET GROUP L.L.C.
CRD#: 15657 / SEC#: , 8-26579
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSMARKET GROUP, INC. | MAJORITY OWNER | |
| MCCORMICK, JAMES GLASS | CLASS MANAGER | 1689719 |
| ADAMS, DOUGLAS RYAN | CHIEF EXECUTIVE OFFICER | 4675945 |
| CAHNMAN, RAYMOND SIMPSON | CHAIRMAN OF THE BOARD/CLASS MANAGER | 1462431 |
| KLEIN, LAWRENCE BRUCE | CFO AML OFFICER | 709084 |
| MEIER, ERIC KARL | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | 4763881 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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