Dean V. Pope
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 Vincent Pope was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1989. Dean had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2019 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
July 19, 2019 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
February 1, 2013 - July 25, 2017
U.S. BANCORP ADVISORS, LLC
June 21, 2012 - July 25, 2017
U.S. BANCORP ADVISORS, LLC
April 4, 2011 - January 26, 2012
U.S. BANCORP ADVISORS, LLC
June 19, 2000 - December 7, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 4, 1998 - May 31, 2000
LPL FINANCIAL LLC
September 3, 1997 - November 10, 1997
U.S. BANCORP INVESTMENTS, INC.
January 31, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
January 14, 1993 - February 15, 1994
U.S. BANCORP SECURITIES
December 11, 1989 - January 25, 1991
PACIFIC FIRST SECURITIES, LTD.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
