Dennis R. Carlson
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 Robert Carlson was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 1987. Dennis had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 28 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
June 10, 2002 - June 10, 2002
FIRST MIDWEST SECURITIES, INC.
February 20, 2002 - February 20, 2007
FIRST MIDWEST SECURITIES, INC.
December 22, 2000 - February 20, 2002
AMERICAN INVESTMENT SERVICES, INC.
January 31, 1995 - September 6, 1995
OGILVIE SECURITY ADVISORS CORPORATION
January 2, 1992 - December 31, 2000
CARLSON NATIONAL BROKERS, LTD
May 29, 1990 - December 18, 1991
AMERICAN INVESTMENT SERVICES, INC.
January 16, 1987 - May 23, 1990
OGILVIE SECURITY ADVISORS 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
Series 28
Date: 9/6/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
