Denise E. Brittain
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.
Denise Elizabeth Brittain was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1984. Denise had worked at 4 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1989 - March 25, 1996
VERAVEST INVESTMENTS, INC.
August 23, 1988 - December 30, 1988
MARINER FINANCIAL SERVICES, INC.
October 9, 1986 - August 26, 1988
INVESTMENT BROKERS OF AMERICA
May 3, 1984 - August 6, 1986
NEW ENGLAND SECURITIES
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
VERAVEST INVESTMENTS, INC.
CRD#: 3960 / SEC#: , 8-14716
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HANOVER INSURANCE GROUP | OWNER | |
| CRONIN, CHARLES FREDERICK | SECRETARY/CLERK | 4212484 |
| GAY, MARYANNE | CHIEF COMPLIANCE OFFICER | 3167171 |
| HUBER, J KENDALL | DIRECTOR | 2068417 |
| KIMBALL, SANDRA FLYNN | FINOP | 4805190 |
| MCGIVNEY, MARK CHRISTOPHER | DIRECTOR | 2788697 |
| SMITH, MARILYN T | DIRECTOR | 4662584 |
| TESTA, PAULA JEAN | PRESIDENT/CHIEF OPERATIONS OFFICER | 2554996 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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