Dean E. Mings
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.
Dean Elmo Mings was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1983. Dean had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2002 - August 2, 2018
THE TAVENNER COMPANY
September 2, 1998 - April 1, 2002
SICOR SECURITIES INC
August 10, 1994 - September 22, 1998
WMA SECURITIES, INC.
July 26, 1994 - August 30, 1994
AMERICAN CLASSIC SECURITIES, INC.
October 12, 1989 - August 24, 1992
NORTH AMERICAN MANAGEMENT, INC.
October 6, 1983 - July 14, 1989
PFS INVESTMENTS 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
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
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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