Dirk E. Tinley
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.
Dirk Edward Tinley was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 1986. Dirk had worked at 6 firms and has passed the Series 63 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
May 30, 1995 - December 3, 1998
SPENCER EDWARDS, INC.
October 7, 1994 - June 14, 1995
INTERFIRST CAPITAL CORPORATION
November 29, 1990 - October 7, 1994
TAMARON INVESTMENTS, INC.
May 24, 1988 - December 5, 1990
BRENNAN ROSS SECURITIES, INC.
February 11, 1987 - June 15, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
April 25, 1986 - February 25, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
