Dennis L. Flood
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 Lyle Flood, who also goes by Dennis L Flood, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1993. Dennis had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 1999 - December 31, 1999
PRIME CAPITAL SERVICES, INC.
February 14, 1998 - June 7, 1999
OSAIC WEALTH, INC.
October 15, 1993 - December 15, 1997
THE O.N. EQUITY SALES COMPANY
February 10, 1993 - October 15, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 10, 1993 - October 15, 1993
SIGNATOR INVESTORS, 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
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
