David L. Dennis
Professional summary
David Leo Dennis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, David had worked at 5 firms, which includes GUNNALLEN FINANCIAL INC, BIRCHTREE FINANCIAL SERVICES LLC, RAYMOND JAMES & ASSOCIATES INC., HILLTOP SECURITIES INC., PRINCIPAL FINANCIAL SECURITIESINC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2000 - February 7, 2003
GUNNALLEN FINANCIAL, INC
May 20, 1998 - September 21, 2000
BIRCHTREE FINANCIAL SERVICES LLC
October 23, 1996 - May 16, 1998
RAYMOND JAMES & ASSOCIATES, INC.
November 10, 1995 - October 23, 1996
HILLTOP SECURITIES INC.
February 14, 1994 - November 16, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
State Registrations and Notice Filings
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Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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