Andrew J. Deniken
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.
Andrew James Deniken, who also goes by Andrew J Deniken, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1992. Andrew had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2010 - July 25, 2012
GVC CAPITAL LLC
February 9, 2007 - June 30, 2008
DINOSAUR FINANCIAL GROUP, L.L.C
December 4, 2006 - January 29, 2007
WESTOR CAPITAL GROUP, INC.
September 7, 2005 - July 5, 2006
JANCO PARTNERS, INC.
June 18, 2004 - October 20, 2004
THE SHEMANO GROUP, INC.
February 25, 2002 - November 4, 2004
GVC CAPITAL LLC
November 2, 1999 - November 13, 2001
COMMERZ MARKETS LLC
October 4, 1999 - October 26, 1999
WEDBUSH SECURITIES INC.
February 26, 1999 - October 26, 1999
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1998 - February 10, 1999
PREFERREDTRADE, INC.
September 1, 1997 - April 17, 1998
DB ALEX. BROWN LLC
July 7, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
October 10, 1996 - June 27, 1997
DB ALEX. BROWN LLC
November 9, 1993 - August 26, 1996
SUTRO & CO. INCORPORATED
November 12, 1992 - September 30, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
