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DB

Dennis Bodenstein

Some features on this profile are disabled
CRD#: 1768142
DB

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 Bodenstein was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 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

October 1, 2002 - January 7, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

February 15, 2002 - November 22, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

February 11, 1999 - October 25, 2000

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

November 12, 1998 - December 1, 1998

HD BROUS & CO., INC.

BD
CRD#: 22062
GREAT NECK, NY
Past

December 11, 1997 - November 3, 1998

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

January 30, 1997 - December 18, 1997

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

August 17, 1993 - January 29, 1997

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

November 4, 1991 - August 13, 1993

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 23, 1990 - September 25, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 16, 1988 - December 19, 1989

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

March 29, 1988 - May 24, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474
Past

December 22, 1987 - March 16, 1988

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494

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: 1/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/1998
General Securities Principal Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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