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DT

Dennis Tobin

ABN AMRO SECURITIES (USA) LLC
New Brunswick, NJ 08901
Some features on this profile are disabled
CRD#: 1354956
DT

Professional summary

Dennis Tobin, who also goes by Dennis David Tobin, is a registered financial professional currently at ABN AMRO SECURITIES (USA) LLC located in New Brunswick, New Jersey.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2000. Dennis has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis David Tobin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dennis Tobin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 14, 2010 - Present

ABN AMRO SECURITIES (USA) LLC

Office #1: 303 George Street Suite 3, New Brunswick, NJ 08901
BD
CRD#: 151796
New Brunswick, NJ
Past

March 22, 2010 - April 13, 2010

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

September 11, 2009 - October 26, 2009

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

November 22, 2006 - September 11, 2009

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

March 24, 2004 - November 22, 2006

RYAN BECK & CO.

BD
CRD#: 3248
LIVINGSTON, NJ
Past

August 14, 2003 - March 16, 2004

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

February 17, 2003 - February 26, 2003

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

March 15, 2000 - November 9, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(2/4/2015)
RR
New York
(4/14/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/6/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AA
ABN AMRO SECURITIES (USA) LLC
ABN AMRO SECURITIES (USA) LLC | MEESPIERSON SECURITIES LLC

CRD#: 151796 / SEC#: , 8-68398

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
303 George Street 3rd Floor, New Brunswick, NJ 08901
Mailing Address
303 George Street 3rd Floor, New Brunswick, NJ 08901
Phone number
(917) 284-6700
Established
Delaware since 01/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABN AMRO CLEARING HOLDINGS USA LLCSHAREHOLDER
ALONGI, ROBERT PHILIP JRHEAD OPS2445170
DUINSTRA, BOUDEWIJNBOARD MEMBER
DWYER, PATRICK JOSEPHPRESIDENT & CEO4653391
LUO, ROGER ZHENYUANCHIEF FINANCIAL OFFICER5840881
TYRICHTROVA, MONIKA ALEXANDRACHIEF COMPLIANCE OFFICER4487708

Disclosures

Regulatory Event1

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.

Company Information

ABN AMRO SECURITIES (USA) LLC

CRD#: 151796New Brunswick, NJ 08901

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