Dean C. Verrigni
Professional summary
Dean Christopher Verrigni was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dean is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Dean had worked at 6 firms, which includes TUCKER ANTHONY INCORPORATED, A. G. EDWARDS & SONS INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., MOSELEY SECURITIES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 1993 - February 21, 1995
TUCKER ANTHONY INCORPORATED
November 24, 1992 - September 14, 1993
A. G. EDWARDS & SONS, INC.
September 7, 1990 - December 10, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 12, 1986 - March 29, 1990
LEHMAN BROTHERS INC.
November 20, 1985 - May 12, 1986
MOSELEY SECURITIES CORPORATION
December 18, 1984 - November 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 2/10/1987
Foreign Currency Options ExaminationSeries 5
Date: 2/10/1987
Interest Rate Options ExaminationCurrent Firm
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
Red Flags
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