Dennis N. Cornwall
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 Neal Cornwall, who also goes by Denny Cornwall, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1986. Dennis had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
June 7, 1996 - December 20, 1999
INTERPACIFIC INVESTORS SERVICES, INC.
January 24, 1994 - March 8, 1996
KEY INVESTMENTS INC.
September 14, 1992 - February 8, 1993
INVESTMENT SERVICES, INC.
February 6, 1991 - September 2, 1992
NATIONWIDE FUND DISTRIBUTORS LLC
May 21, 1987 - January 7, 1991
ALLIED GROUP SECURITIES CORPORATION
January 9, 1986 - May 26, 1987
CAPITAL BROKERAGE CORPORATION
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
INTERPACIFIC INVESTORS SERVICES, INC.
CRD#: 4879 / SEC#: , 8-15487
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUNDGREN, GARY JAMES | FINANCIAL PRINCIPAL | 724817 |
| INTERPACIFIC INVESTOR SERVICES, LLC | SHAREHOLDER | |
| KLINE, BRIAN RUSSELL | MSRB PRINCIPAL | 1551855 |
| KLINE, BRIAN RUSSELL | CHIEF COMPLIANCE OFFICER | 1551855 |
| KLINE, BRIAN RUSSELL | EXECUTIVE VICE PRESIDENT | 1551855 |
| KLINE, BRIAN RUSSELL | GENERAL PRINCIPAL | 1551855 |
| LUNDGREN, GARY JAMES | DIRECTOR/SECRETARY | 724817 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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