Dennis F. Dixon
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 Fitz Dixon was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1990. Dennis had worked at 6 firms and has passed the Series 63, 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
January 24, 2001 - October 22, 2001
PRENTICE SECURITIES, INCORPORATED
November 27, 2000 - January 3, 2001
CGS FINANCIAL INC.
August 22, 1991 - November 27, 2000
SIMMONS & BISHOP CO. INC.
November 2, 1990 - July 16, 1991
KOBER FINANCIAL CORP.
September 19, 1990 - October 29, 1990
ROYCE PARK INVESTMENTS, INC.
July 23, 1990 - August 10, 1990
BLINDER, ROBINSON & CO., 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
PRENTICE SECURITIES, INCORPORATED
CRD#: 22897 / SEC#: , 8-40036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIERNEY, MICHAEL EDWARD | PRESIDENT/CEO/DIRECTOR | 804928 |
| MULLINS, NANCY | SHAREHOLDER | 342604 |
| DOMINICK & DOMINICK, INCORPORATED | SHAREHOLDER | |
| AVALON INVESTMENT ASSOCIATES INC | SHAREHOLDER | |
| BALUYO, CATHERINE ANN | SECRETARY | 2188043 |
| BOSWELL, JOHN DOUGLAS | SHAREHOLDER/COMPLIANCE DIR/CFO | 1031653 |
| BURKE, BARBARA JANE | SHAREHOLDER | 1242140 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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