Dennis A. Webb
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 Allen Webb, who also goes by Deno A Webb, Deno Webb, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1988. Dennis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2012 - February 4, 2016
CANTELLA & CO., INC.
July 23, 2012 - February 4, 2016
CANTELLA & CO., INC.
October 5, 2009 - July 23, 2012
BROKERSXPRESS LLC
October 5, 2009 - July 23, 2012
BROKERSXPRESS LLC
May 14, 2008 - October 6, 2009
MML INVESTORS SERVICES, LLC
May 13, 2008 - October 6, 2009
MML INVESTORS SERVICES, LLC
July 19, 2007 - April 28, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 12, 2007 - April 28, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 3, 2001 - July 6, 2007
RAYMOND JAMES & ASSOCIATES, INC.
June 15, 2001 - July 6, 2007
RAYMOND JAMES & ASSOCIATES, INC.
December 18, 1992 - June 28, 2001
ROBERT W. BAIRD & CO. INCORPORATED
July 6, 1990 - January 9, 1993
RAFFENSPERGER, HUGHES & CO., INC.
October 31, 1989 - July 30, 1990
LEHMAN BROTHERS INC.
April 21, 1989 - November 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1988 - March 15, 1989
TRAUB AND COMPANY, 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
