Barbara L. Dennis
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.
Barbara Lynne Dennis was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1992. Barbara had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
June 3, 2011 - January 2, 2014
NEWPORT COAST SECURITIES, INC.
March 1, 2010 - June 27, 2011
INTERMOUNTAIN FINANCIAL SERVICES, INC.
June 18, 2009 - January 4, 2010
STONEHURST SECURITIES, INC.
March 21, 2008 - August 6, 2008
INTEGRITY ALLIANCE, LLC.
September 27, 2004 - December 31, 2005
INVESTMENT MANAGEMENT CORPORATION
April 1, 1994 - January 10, 1996
OSAIC FA, INC.
April 1, 1994 - February 1, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 27, 1994 - March 30, 1994
MOMENTUM INDEPENDENT NETWORK INC.
October 26, 1992 - February 9, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 26, 1992 - January 10, 1996
OSAIC FA, 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
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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