Dennis W. Kroeker
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 Wayne Kroeker was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1993. Dennis had worked at 4 firms and has passed the Series 65, Series 63, SIE, 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
July 9, 2013 - September 18, 2015
WHITEHALL-PARKER SECURITIES, INC.
July 9, 2013 - September 18, 2015
WHITEHALL-PARKER SECURITIES, INC.
June 16, 2005 - June 13, 2013
INVESTORS CAPITAL CORP.
December 17, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
November 1, 2002 - December 3, 2002
LEGACY FINANCIAL SERVICES, INC.
September 1, 1993 - June 13, 2013
INVESTORS CAPITAL CORP.
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
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
