Wayne M. Dennis
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.
Wayne M Dennis, who also goes by Wayne Michael Dennis, was a registered financial advisor .
Wayne is a previously registered financial advisor and started their career in finance in 1987. Wayne had worked at 9 firms and has passed the Series 63, Series 7, Series 22 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
March 1, 2004 - June 10, 2004
NSA SECURITIES CORPORATION
February 27, 2004 - June 10, 2004
NSA SECURITIES CORPORATION
March 26, 2003 - February 27, 2004
INTERVEST INTERNATIONAL, INC.
March 24, 2003 - February 27, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
October 27, 1997 - March 7, 2003
WOODBURY FINANCIAL SERVICES, INC.
January 30, 1995 - March 7, 2003
WOODBURY FINANCIAL SERVICES, INC.
July 11, 1988 - January 16, 1995
OSAIC FS, INC.
September 23, 1987 - August 2, 1988
OAK BROOK SECURITIES CORP.
August 5, 1987 - October 21, 1989
PRUCO SECURITIES, LLC.
March 14, 1987 - July 10, 1987
DREHER & ASSOCIATES, INC.
January 8, 1987 - February 22, 1989
CONSECO EQUITY SALES, INC.
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
NSA SECURITIES CORPORATION
CRD#: 38472 / SEC#: , 8-48268
Contact information
Documents
Red Flags
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