Dean G. Slemmons
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.
Dean Gibbs Slemmons, who also goes by Dean G Slemmons, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1992. Dean had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 6, Series 53, Series 8 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
January 11, 2017 - March 25, 2020
INSTITUTIONAL BOND NETWORK, LLC
July 22, 2013 - January 12, 2017
EK RILEY INVESTMENTS, LLC
May 5, 2006 - September 3, 2013
SEATTLE-NORTHWEST SECURITIES CORPORATION
October 1, 1998 - February 17, 2006
BANC OF AMERICA SECURITIES LLC
February 20, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
July 8, 1996 - December 2, 1997
SEAFIRST INVESTMENT SERVICES, INC.
October 5, 1992 - October 19, 1992
WOODBURY FINANCIAL SERVICES, 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
Series 8
Date: 5/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INSTITUTIONAL BOND NETWORK, LLC
CRD#: 187515 / SEC#: , 8-69609
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAGGE, ERIK NICHOLAS | SENIOR PARTNER, MUNI PRINCIPAL | 3244703 |
| DICKINSON, MARTIN JOHN | OWNER | 1352810 |
| NATALE, CHRISTOPHER JOHN | MANAGING MEMBER & PROPRIETARY TRADER | 4870483 |
| SWEENEY, PATRICK WILLIAM | OWNER | 1350182 |
| ACTON STROIA FAMILY TRUST | TRUST | |
| ACTON, BRIAN LEONARD | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8167174 |
| CLARK, CATHERINE MARIAN | CHIEF COMPLIANCE OFFICER | 4384961 |
| GILMAN, ROBERT CRAIG | FINOP/CFO/PFO/POO | 1738412 |
| KNIPPA, GARY LOUIS | INVESTOR | 8167504 |
| MATHENY, GREGORY SCOTT | INVESTOR | 8167208 |
| NGUYEN, HOAN-VU TRAN | INVESTOR | 8163339 |
| O'MARA, CHRISTOPHER ROY | PROPRIETARY TRADER | 1657262 |
| RUFFIER, WILLIAM EUGENE | INVESTOR | 8167148 |
| STROIA, SHARON MARIE | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8168236 |
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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