Geoffrey E. Dennis
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.
Geoffrey Edwin James Dennis, who also goes by Geoffrey Edwin Dennis, Geoffrey Edwin J Dennis, Geoffrey Edwin James Dennis, Geoffrey Dennis, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1992. Geoffrey had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 16, Series 7 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
March 18, 2021 - June 4, 2021
MONDEUM CAPITAL
November 15, 2013 - October 19, 2018
UBS SECURITIES LLC
November 23, 1999 - July 10, 2013
CITIGROUP GLOBAL MARKETS INC.
January 20, 1997 - January 5, 1998
HSBC SECURITIES (USA) INC.
August 20, 1993 - November 20, 1996
J.P. MORGAN SECURITIES LLC
July 29, 1992 - July 22, 1993
JAMES CAPEL INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
MONDEUM CAPITAL
CRD#: 309574 / SEC#: , 8-70542
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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