Dennis L. Secor
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 Lee Secor was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 2 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
September 29, 2010 - December 31, 2017
NATIONWIDE SECURITIES, LLC
June 24, 2008 - August 23, 2010
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 5, 1999 - August 4, 2000
NATIONWIDE SECURITIES, LLC
July 1, 1996 - August 29, 2003
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 6, 1993 - July 1, 1996
NATIONWIDE SECURITIES, LLC
February 22, 1993 - May 12, 1994
THE VARIABLE ANNUITY MARKETING COMPANY
July 17, 1992 - January 19, 1993
CITISTREET EQUITIES LLC
February 1, 1989 - December 31, 1991
VOYA FINANCIAL ADVISORS, INC.
December 23, 1988 - August 3, 1992
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
June 26, 1986 - August 22, 1987
UR FINANCIAL, INC.
September 26, 1985 - July 28, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 26, 1985 - July 29, 1986
EQUITABLE ADVISORS, LLC
January 6, 1984 - August 30, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 2
Date: 4/23/1996
Non-Member General Securities ExaminationCurrent Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 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.
