Dennis L. Klemming
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 Lars Klemming was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1992. Dennis had worked at 7 firms and has passed the Series 63, Series 7 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - March 26, 2014
WINDSOR STREET CAPITAL, LP
June 6, 2013 - August 8, 2013
ACTIVA CAPITAL MARKETS, INC.
May 23, 2011 - March 8, 2012
ACTIVA CAPITAL MARKETS, INC.
March 15, 2011 - May 18, 2011
ITA FINANCIAL SERVICES, LLC
November 20, 2001 - July 2, 2003
ABG SUNDAL COLLIER INC.
June 1, 1998 - April 11, 2000
ABN AMRO INCORPORATED
April 4, 1996 - June 22, 1998
ALFRED BERG, INC.
June 1, 1992 - April 4, 1996
ALFRED BERG, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 17
Date: 5/29/1992
Limited Registered Representative ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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