Dean G. Tanella
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.
Dean Garrett Tanella was a registered financial advisor .
Dean is a previously registered financial advisor and started their career in finance in 1984. Dean had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24 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
November 10, 2010 - August 10, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
December 16, 2009 - November 9, 2010
COMMERCE WEALTH ADVISERS, LLC
December 15, 2009 - November 9, 2010
DEWAAY FINANCIAL NETWORK, LLC
October 15, 2009 - December 18, 2009
GUNNALLEN FINANCIAL, INC
September 27, 2005 - December 31, 2008
HARBORLIGHT CAPITAL MANAGEMENT, LLC
July 20, 2005 - December 18, 2009
GUNNALLEN FINANCIAL, INC
September 26, 1994 - June 21, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 17, 1990 - August 23, 1994
CANACCORD GENUITY LLC
October 25, 1988 - October 24, 1989
CREDIT SUISSE SECURITIES (USA) LLC
March 17, 1987 - October 7, 1988
S.G. WARBURG & CO. INC.
January 25, 1984 - October 25, 1985
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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 8
Date: 4/20/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
