Dennis R. Owens
Professional summary
Dennis Ray Owens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Dennis had worked at 4 firms, which includes WORKMAN SECURITIES CORPORATION, THE ADVISORS GROUP INC., WMA SECURITIES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1996 - September 2, 1997
WORKMAN SECURITIES CORPORATION
March 21, 1996 - June 5, 1996
THE ADVISORS GROUP, INC.
September 8, 1995 - March 29, 1996
WMA SECURITIES, INC.
September 18, 1987 - October 11, 1995
PRUCO SECURITIES, 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
Exams
Current Firm
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
