Dennis V. Riordan
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 Vincent Riordan, who also goes by Dennis VIncent Riordan, Dennis Riordan, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2005. Dennis had worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 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
June 20, 2017 - June 19, 2022
WYNSTON HILL CAPITAL, LLC
February 16, 2017 - June 5, 2017
AEON CAPITAL INC
January 7, 2015 - May 21, 2015
ROTHSCHILD LIEBERMAN LLC
February 19, 2014 - December 17, 2014
CORINTHIAN PARTNERS, L.L.C.
June 18, 2013 - February 11, 2014
PORTFOLIO ADVISORS ALLIANCE, LLC
November 6, 2007 - June 18, 2013
JOHN THOMAS FINANCIAL
September 22, 2006 - November 12, 2007
J.P. TURNER & COMPANY, L.L.C.
January 3, 2006 - August 28, 2006
JOSEPH GUNNAR & CO. LLC
September 28, 2005 - December 16, 2005
S.W. BACH & COMPANY
June 15, 2005 - August 2, 2005
E1 ASSET MANAGEMENT, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WYNSTON HILL CAPITAL, LLC
CRD#: 103811 / SEC#: , 8-52299
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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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