Dennis J. Malouf
Professional summary
Dennis James Malouf was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Dennis had worked at 8 firms, which includes NM WEALTH MANAGEMENT LLC, UAS WEALTH ADVISORS, UNIVERSAL ADVISORY SERVICES INC, RAYMOND JAMES FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, WALFORD DEMARET & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - December 31, 2016
NM WEALTH MANAGEMENT, LLC
October 27, 2004 - June 16, 2011
UAS WEALTH ADVISORS
February 12, 2003 - July 8, 2005
UNIVERSAL ADVISORY SERVICES INC
February 27, 1999 - December 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 26, 1996 - March 5, 1999
UBS FINANCIAL SERVICES INC.
March 4, 1985 - January 18, 1996
MORGAN STANLEY DW INC.
March 13, 1984 - February 14, 1985
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1983 - July 27, 1984
WALFORD, DEMARET & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
NM WEALTH MANAGEMENT, LLC
CRD#: 159098 / SEC#:
Contact information
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