Dena M. Rothmann
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.
Dena Marie Rothmann, who also goes by Dena Marie Bennett, Dena Marie Rothman, Dena Marie Thornburg, was a registered financial professional .
Dena is a previously registered financial professional and started their career in finance in 1989. Dena had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2004 - October 27, 2014
ESSEX NATIONAL SECURITIES, LLC
August 8, 2003 - March 8, 2004
DFC INVESTOR SERVICES
March 23, 2001 - April 1, 2003
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
July 7, 1998 - June 30, 2000
GUARANTY BROKERAGE SERVICES, INC.
July 8, 1992 - June 19, 1998
ESSEX NATIONAL SECURITIES, LLC
November 29, 1990 - December 31, 1991
MONY SECURITIES CORPORATION
June 28, 1989 - November 8, 1990
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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