Dennis D. Jeffers
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 Duane Jeffers, who also goes by Duane Jeffers, 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 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - May 23, 2023
MGI FUNDS DISTRIBUTORS, LLC
June 20, 2017 - December 31, 2019
MMC SECURITIES LLC
May 23, 2017 - December 31, 2019
MMC SECURITIES LLC
October 10, 2012 - November 23, 2016
ONEAMERICA SECURITIES, INC.
May 18, 2006 - October 3, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 19, 2000 - April 24, 2006
EMPOWER FINANCIAL SERVICES, INC.
October 20, 1995 - September 8, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 24, 1992 - August 28, 1996
NATIONWIDE SECURITIES, LLC
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
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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