Dennis C. Ward
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 Carey Ward, who also goes by Dennis Ward, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2016 - July 21, 2020
INFINITY FINANCIAL SERVICES
May 12, 2016 - July 21, 2020
INFINITY FINANCIAL SERVICES
December 11, 2013 - January 10, 2014
SB ADVISORY, LLC
November 20, 2013 - November 25, 2013
IFS SECURITIES
May 9, 2011 - May 31, 2016
ADIRONDACK TRADING GROUP LLC
March 11, 2011 - December 11, 2012
RIDGEWAY CONGER ADVISORY SERVICES
March 11, 2011 - May 31, 2016
RIDGEWAY & CONGER, INC.
September 8, 2009 - September 14, 2010
SECURITIES AMERICA ADVISORS, INC.
May 23, 2008 - September 14, 2010
SECURITIES AMERICA, INC.
November 20, 2007 - July 10, 2008
WALNUT STREET SECURITIES, INC.
April 15, 2005 - December 31, 2005
LPL FINANCIAL LLC
January 3, 1996 - November 21, 2007
LPL FINANCIAL LLC
November 21, 1983 - January 16, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 21, 1983 - January 16, 1996
EQUITABLE ADVISORS, LLC
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
INFINITY FINANCIAL SERVICES
CRD#: 144302 / SEC#: , 8-67647
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
