Dennis S. Sosler
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 Stanley Sosler was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1994. Dennis had worked at 5 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2007 - November 12, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
January 5, 2007 - March 14, 2007
DALTON STRATEGIC INVESTMENT SERVICES INC.
October 18, 1995 - December 31, 2006
SICOR SECURITIES INC
May 5, 1995 - October 3, 1995
PFS INVESTMENTS INC.
June 29, 1994 - March 2, 1995
IDS LIFE INSURANCE COMPANY
June 29, 1994 - March 2, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
DALTON STRATEGIC INVESTMENT SERVICES INC.
CRD#: 23485 / SEC#: , 8-40545
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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