Dennis Gorman
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 Gorman was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 4 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
August 14, 2013 - March 13, 2015
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 3, 2005 - August 16, 2011
BANCO DO BRASIL SECURITIES LLC
June 5, 2002 - January 7, 2005
IDB CAPITAL CORP.
September 17, 1998 - May 31, 2001
BANK AUSTRIA SECURITIES, INC.
June 22, 1998 - September 16, 1998
CA IB SECURITIES (NEW YORK) INC.
December 20, 1983 - November 14, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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