Dennis J. Harper
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 Jay Harper was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 7 firms and has passed the Series 63, 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
July 17, 2020 - October 22, 2020
SECURITIES AMERICA, INC.
January 3, 2003 - July 17, 2020
INVESTACORP, INC.
August 15, 2000 - January 3, 2003
USALLIANZ SECURITIES, INC.
July 9, 1997 - August 11, 2000
WOODBURY FINANCIAL SERVICES, INC.
June 17, 1997 - July 9, 1997
WOODBURY FINANCIAL SERVICES, INC.
January 29, 1997 - July 16, 1997
BERKSHIRE EQUITY SALES, INC.
April 20, 1995 - January 14, 1997
WOODBURY FINANCIAL SERVICES, INC.
February 13, 1995 - April 20, 1995
MONY SECURITIES CORPORATION
October 28, 1994 - January 19, 1995
WOODBURY FINANCIAL SERVICES, INC.
October 29, 1990 - October 6, 1994
BERKSHIRE EQUITY SALES, INC.
February 11, 1985 - October 17, 1990
INVESTACORP, INC.
December 21, 1983 - March 11, 1985
FIRST PARK EQUITIES, 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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
