Dennis P. Hipps
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 Patrick Hipps 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, Series 7TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2020 - January 22, 2021
CANTELLA & CO., INC.
March 24, 2017 - January 14, 2020
MCCLURG CAPITAL CORPORATION
July 15, 2008 - January 14, 2020
MCCLURG CAPITAL CORPORATION
August 28, 2002 - July 11, 2008
CROCKER SECURITIES LLC
July 28, 1998 - September 4, 2002
IBIS SECURITIES, LLC
October 25, 1994 - July 22, 1998
ALAMO CAPITAL
March 23, 1984 - October 10, 1994
WULFF, HANSEN & CO.
October 19, 1983 - March 5, 1984
SUTRO & CO. 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 7TO
Date: 1/1/2023
General Securities Representative ExaminationSeries 8
Date: 6/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
