Dean K. Piper
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.
Dean Kevin Piper was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1989. Dean had worked at 4 firms and has passed the Series 63, Series 3, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1993 - September 9, 1993
1717 CAPITAL MANAGEMENT COMPANY
March 6, 1992 - March 20, 1993
AMERICAN CAPITAL CORPORATION
May 26, 1989 - April 4, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 26, 1989 - April 4, 1990
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
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
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.
