Dean W. Urick
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 William Urick, who also goes by Dean W Urick, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1993. Dean had worked at 6 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
May 23, 2001 - February 28, 2003
ROSENTHAL COLLINS SECURITIES, L.L.C
December 15, 1998 - May 15, 2001
SII INVESTMENTS, INC.
August 25, 1997 - January 12, 1999
SOUTHERN CAPITAL SECURITIES, INC.
September 13, 1996 - August 21, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 2, 1994 - August 2, 1996
SIGMA FINANCIAL CORPORATION
July 28, 1993 - February 3, 1994
STATEWIDE SECURITIES GROUP, 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
ROSENTHAL COLLINS SECURITIES, L.L.C
CRD#: 41915 / SEC#: , 8-49629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSENTHAL COLLINS HOLDINGS, L.L.C. | DIRECT OWNER | |
| BYRNE, ROBERT JAMES | MUNICIPAL PRINCIPAL, GENERAL PRINCIPAL OPERATIONS OPTIONS PRINCIPAL | 4421288 |
| OSMANSKI, PETER ANTHONY | GENERAL PRINCIPAL OPTION PRINCIPAL MUNICIPAL PRINCIPAL | 2217490 |
| SPANIAK, GEORGE NICHOLAS JR | FINANCIAL & OPERATIONS PRINCIPAL | 2171494 |
| WALL, THOMAS JEROME | PRESIDENT, GENERAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL | 1188640 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
