Dennis E. Beeby
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 Ernest Beeby, who also goes by Dennis Beeby, was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 1989. Dennis had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - January 12, 2018
LIGHTPATH CAPITAL, INC
April 12, 2013 - August 2, 2016
EDI FINANCIAL, INC.
February 22, 2011 - April 9, 2013
ALLIED BEACON PARTNERS, INC.
July 17, 2009 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
December 9, 2005 - December 31, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
October 11, 1996 - July 29, 2009
NEXCORE CAPITAL, INC.
July 30, 1990 - October 18, 1996
PACIFIC CAPITAL PARTNERS, INC.
March 5, 1990 - August 7, 1990
REMINGTON SECURITIES, INC.
October 16, 1989 - August 7, 1990
REMINGTON SECURITIES, 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
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 States and Territories)
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.
