Dennis W. Sinclair
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 William Sinclair was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1994. Dennis had worked at 9 firms and has passed the Series 66, 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
December 12, 2013 - March 10, 2014
FORTE SECURITIES LLC
September 9, 2013 - May 17, 2014
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
July 14, 2009 - August 27, 2013
NEWPORT COAST SECURITIES, INC.
June 30, 2008 - December 31, 2012
STOCKBRIDGE FINANCIAL SERVICES, LLC
July 6, 2006 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
December 4, 1998 - April 11, 2000
CONCEPT 10 INC.
August 1, 1995 - December 19, 1996
H.J. MEYERS & CO., INC.
April 27, 1995 - July 20, 1995
TEXAS CAPITAL SECURITIES, INC.
July 15, 1994 - March 13, 1995
SECURITIES AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORTE SECURITIES LLC
CRD#: 38373 / SEC#: , 8-48201
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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