Dennis P. Shinners
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 Paul Shinners 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 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2009 - August 3, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 11, 2008 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
January 1, 1996 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 21, 1991 - March 5, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
August 20, 1988 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, INC.
March 26, 1987 - August 31, 1988
WASHINGTON NATIONAL EQUITY COMPANY
February 12, 1986 - April 9, 1987
ASSET WATCH FINANCIAL, INC.
December 23, 1985 - February 19, 1986
PLANNED INVESTMENTS INC.
August 17, 1984 - December 16, 1985
THE ADVISORS GROUP, INC.
April 18, 1984 - August 28, 1984
FSC SECURITIES CORPORATION
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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
