Dennis P. Collins
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 Patrick Collins was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 28, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2009 - December 24, 2019
PORTSMOUTH FINANCIAL SERVICES
August 1, 2001 - December 24, 2019
PORTSMOUTH FINANCIAL SERVICES
October 26, 1984 - August 1, 2001
HOLT & COLLINS
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 55
Date: 1/25/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 8/16/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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