Dennis J. Stephenson
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 James Stephenson was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1992. Dennis had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - May 8, 2015
PURSHE KAPLAN STERLING INVESTMENTS
October 24, 2012 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
April 12, 2002 - January 19, 2011
WORLD GROUP SECURITIES, INC.
June 3, 1999 - April 12, 2002
WMA SECURITIES, INC.
September 24, 1997 - June 2, 1999
LASALLE ST SECURITIES, L.L.C.
April 20, 1992 - October 9, 1997
CAPITAL BROKERAGE 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
