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DW

Dennis J. Westley

Some features on this profile are disabled
CRD#: 1699544
DW

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 Joseph Westley was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1989. Dennis had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2010 - March 30, 2012

FAIRHOLME DISTRIBUTORS, LLC

BD
CRD#: 150987
WILMINGTON, DE
Past

October 28, 2008 - March 30, 2012

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
WILMINGTON, DE
Past

April 24, 2008 - December 5, 2008

BLACKROCK DISTRIBUTORS, INC

BD
CRD#: 39636
KING OF PRUSSIA, PA
Past

April 24, 2008 - March 30, 2012

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
WILMINGTON, DE
Past

April 24, 2008 - March 30, 2012

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
WILMINGTON, DE
Past

May 1, 2000 - March 30, 2012

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
WILMINGTON, DE
Past

January 19, 1999 - May 2, 2000

PROFESSIONAL FUND DISTRIBUTORS CORP.

BD
CRD#: 43615
WILMINGTON, DE
Past

May 10, 1989 - July 9, 1997

PENN SQUARE MANAGEMENT CORPORATION

BD
CRD#: 3004

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/8/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/12/1989
Investment Company Products/Variable Contracts Principal Examination

Current Firm

FD
FAIRHOLME DISTRIBUTORS, LLC
FAIRHOLME DISTRIBUTORS, INC. | FAIRHOLME DISTRIBUTORS, LLC

CRD#: 150987 / SEC#: , 8-68327

BD
Terminated by SEC on 02/03/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
BERTHY, RICHARD JOHN MR.PRESIDENT/TREASURER/MANAGER/DIRECTOR1341368
DIVALERIO, JENNIFER KAYVICE PRESIDENT3236826
FAIRBANKS, MARK ALANVICE PRESIDENT1847318
HOOPES, JENNIFER ELLENSECRETARY5462575
MOSCARITOLO, SUSAN KALLAIVICE PRESIDENT/CHIEF COMPLIANCE OFFICER2618909
SOMMERS, WESTONFINANCIAL AND OPERATIONS PRINCIPAL5290145

Disclosures

Regulatory Event1

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.

Company Information

FAIRHOLME DISTRIBUTORS, LLC

CRD#: 150987

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