Dean R. Wertz
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 Ralph Wertz was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1984. Dean had worked at 8 firms and has passed the Series 63, Series 7 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
January 12, 2012 - August 27, 2013
QUEST CAPITAL STRATEGIES, INC.
April 6, 2009 - February 5, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
April 6, 2009 - February 5, 2010
FIRST CITIZENS INVESTOR SERVICES, INC.
January 2, 2009 - April 9, 2009
FIFTH THIRD SECURITIES, INC.
June 13, 2008 - April 9, 2009
FIFTH THIRD SECURITIES, INC.
March 16, 2006 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
March 4, 2002 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
June 1, 1994 - August 13, 2001
JBS LIBERTY SECURITIES, INC.
January 22, 1992 - June 2, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
February 9, 1988 - August 23, 1990
INVEST FINANCIAL CORPORATION
January 7, 1986 - February 19, 1988
J.C. BRADFORD & CO.
March 22, 1984 - January 14, 1986
MORGAN STANLEY DW INC.
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: 6/17/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
