Dennis W. Cates
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 Warren Cates was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 9 firms and has passed the Series 63, Series 6 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - December 31, 2011
NATIONWIDE SECURITIES, LLC
April 13, 2009 - April 30, 2010
MSI FINANCIAL SERVICES, INC.
February 5, 2007 - June 8, 2007
B. RILEY WEALTH MANAGEMENT
August 1, 2005 - October 18, 2006
CHAPDELAINE CORPORATE SECURITIES & CO
May 5, 2005 - July 22, 2005
BGC FINANCIAL, L.P.
June 21, 1996 - July 28, 1999
INTERCAPITAL GOVERNMENT SECURITIES INC.
March 5, 1992 - May 6, 1996
TULLETT LIBERTY BROKERAGE INC.
February 28, 1991 - March 11, 1992
FUNDAMENTAL BROKERS
July 25, 1987 - February 28, 1991
FUNDAMENTAL BROKERS
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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 72
Date: 5/4/2005
Government Securities Representative ExaminationCurrent Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| 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.
