Denise M. Block
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.
Denise Marie Block, who also goes by Denise M Block, Denise Maria Block, Denise Marie Giaquinta, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1994. Denise had worked at 10 firms and has passed the Series 63, Series 6TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - September 8, 2023
PAYDEN & RYGEL DISTRIBUTORS
October 27, 2010 - June 19, 2014
CRT CAPITAL GROUP LLC
May 27, 2010 - October 25, 2010
GFI SECURITIES LLC
February 11, 2009 - June 2, 2010
MIDSOUTH CAPITAL, INC.
May 24, 2007 - September 13, 2007
COUNTRYWIDE SECURITIES CORPORATION
January 29, 2001 - May 1, 2001
JPMSI
June 28, 2000 - April 30, 2007
J.P. MORGAN SECURITIES INC.
August 14, 1998 - July 6, 2000
BANC OF AMERICA SECURITIES LLC
June 27, 1995 - January 8, 1998
AMHERST SECURITIES GROUP, L.P.
November 21, 1994 - July 25, 1995
NATWEST SECURITIES CORPORATION
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PAYDEN & RYGEL DISTRIBUTORS
CRD#: 29868 / SEC#: , 8-44622
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
