Dennis J. Van Uffelen
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 Van Uffelen, who also goes by Dennis Van Uffelen, Dennis John Vanuffelen, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 13 firms and has passed the Series 66, Series 63 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
June 21, 2011 - December 31, 2012
ESSEX NATIONAL SECURITIES, LLC
June 21, 2011 - December 31, 2012
ESSEX NATIONAL SECURITIES, LLC
November 18, 2010 - May 25, 2011
ESSEX NATIONAL SECURITIES, LLC
November 18, 2010 - May 25, 2011
ESSEX NATIONAL SECURITIES, LLC
October 21, 2010 - November 22, 2010
AVANTAX INVESTMENT SERVICES, INC.
January 19, 2010 - October 18, 2010
ESSEX NATIONAL SECURITIES, LLC
January 15, 2010 - October 18, 2010
ESSEX NATIONAL SECURITIES, LLC
May 7, 2009 - January 19, 2010
ARROWHEAD INVESTMENT CENTER, LLC
September 25, 2008 - April 2, 2009
INTEGRITY PLANNERS INC.
February 1, 2006 - January 19, 2010
ARROWHEAD INVESTMENT CENTER, LLC
January 19, 2005 - June 22, 2006
IFMG SECURITIES, INC.
January 19, 2005 - June 22, 2006
IFMG SECURITIES, INC.
October 9, 2000 - January 11, 2005
OSAIC WEALTH, INC.
July 7, 1993 - October 11, 2000
NYLIFE SECURITIES LLC
February 4, 1991 - June 15, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 4, 1991 - June 15, 1993
EQUITABLE ADVISORS, LLC
December 7, 1990 - February 21, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 7, 1990 - February 21, 1991
PRUCO SECURITIES, LLC.
November 19, 1989 - December 17, 1990
OSAIC WEALTH, INC.
May 8, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 14, 1983 - April 28, 1989
GREAT AMERICAN SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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