Dennis P. Mooney
Professional summary
Dennis Patrick Mooney was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Dennis had worked at 9 firms, which includes NEW TIMES SECURITIES SERVICES INC., CAMBRIDGE CAPITAL LLC, LLOYD WADE SECURITIES INC., SUNPOINT SECURITIES INC., FIRST MONTAUK SECURITIES CORP., L.B. SAKS INC., GKN SECURITIES CORP., BISHOP ALLEN INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1998 - May 21, 1999
NEW TIMES SECURITIES SERVICES, INC.
May 13, 1998 - October 2, 1998
CAMBRIDGE CAPITAL, LLC
January 20, 1998 - May 15, 1998
LLOYD WADE SECURITIES INC.
September 4, 1997 - November 13, 1997
SUNPOINT SECURITIES, INC.
May 15, 1997 - August 26, 1997
FIRST MONTAUK SECURITIES CORP.
February 28, 1997 - July 23, 1997
L.B. SAKS, INC.
July 16, 1996 - August 15, 1996
GKN SECURITIES CORP.
April 4, 1996 - June 5, 1996
BISHOP, ALLEN, INC.
May 6, 1994 - April 26, 1996
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NEW TIMES SECURITIES SERVICES, INC.
CRD#: 34154 / SEC#: , 8-46215
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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