Dennis B. Holmstrom
Professional summary
Dennis Barry Holmstrom, who also goes by Dennis B Holmstrom, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.
Dennis is registered as a RR (Registered Representative) and started their career in finance in 1987. Dennis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dennis Barry Holmstrom's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2013 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217May 8, 2015 - December 31, 2024
SOUTHEAST INVESTMENTS, N.C., INC.
April 18, 2013 - November 18, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
March 12, 2008 - April 22, 2013
OSAIC SERVICES, INC.
October 31, 2005 - April 22, 2013
OSAIC SERVICES, INC.
February 28, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 27, 1987 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 27, 1987 - March 20, 2001
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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