Dean R. Foutz
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 Roy Foutz was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1968. Dean had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2004 - December 31, 2012
THE LEADERS GROUP, INC.
March 31, 2003 - May 11, 2004
EQUITABLE ADVISORS, LLC
November 8, 2001 - February 27, 2003
NEW ENGLAND SECURITIES
July 19, 1999 - November 26, 2001
WS GRIFFITH SECURITIES, INC.
February 7, 1997 - June 22, 1999
MUTUAL SERVICE CORPORATION
November 9, 1994 - December 31, 1996
MUTUAL SERVICE CORPORATION
April 1, 1971 - July 12, 1974
FALCON FINANCIAL SERVICES, INC.
December 5, 1968 - October 18, 1994
G. R. PHELPS & 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
Series 1
Date: 11/23/1968
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
