Maureen D. Pentland
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.
Maureen Dunn Pentland, who also goes by Maureen Theresa Dunn, Maureen Theresa Pentland, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1987. Maureen had worked at 8 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2007 - December 2, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 5, 1999 - July 6, 2007
QUESTAR CAPITAL CORPORATION
April 17, 1998 - September 25, 1998
GUARDIAN INVESTOR SERVICES LLC
December 1, 1993 - February 7, 1997
GUARDIAN INVESTOR SERVICES LLC
May 5, 1988 - January 22, 1992
IDS LIFE INSURANCE COMPANY
May 5, 1988 - January 22, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
February 17, 1988 - March 10, 1988
INVESTOCK & CO., INC.
September 10, 1987 - November 10, 1988
FIRST FLORIDA SECURITIES GROUP, INC.
June 24, 1987 - July 1, 1987
RLR SECURITIES GROUP, 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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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