Dennis J. Lavalle
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 Lavalle was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2009 - June 6, 2023
HEROLD & LANTERN INVESTMENTS, INC.
December 6, 2006 - October 14, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2001 - December 6, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
January 19, 1983 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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