Dennis V. Mccoola
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 Vincent Mccoola was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2009 - September 15, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 23, 1997 - December 31, 2007
PRINCIPAL SECURITIES, INC.
September 4, 1997 - December 23, 1997
MONY SECURITIES CORPORATION
June 10, 1994 - September 2, 1997
MML INVESTORS SERVICES, LLC
September 21, 1993 - May 5, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 21, 1993 - May 5, 1994
EQUITABLE ADVISORS, LLC
November 23, 1988 - December 31, 1989
DERAND/PENNINGTON/BASS, INC.
June 10, 1987 - November 30, 1988
E. A. BUCK CO., 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
