Dennis L. Gillie
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 Lee Gillie was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1989. Dennis 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
March 2, 2010 - December 31, 2011
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
September 15, 1998 - January 28, 2010
OSAIC WEALTH, INC.
June 28, 1995 - October 13, 1998
WMA SECURITIES, INC.
October 9, 1989 - March 20, 1995
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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