Dennis N. Joannides
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 Nicholas Joannides was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1970. Dennis had worked at 7 firms and has passed the Series 63, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2008 - June 10, 2014
STURNIOLO JOSEPH S & ASSOCIATES INC
October 31, 2008 - December 31, 2008
GENEOS WEALTH MANAGEMENT, INC.
October 31, 2008 - June 2, 2014
GENEOS WEALTH MANAGEMENT, INC.
May 1, 2003 - November 5, 2008
KESTRA INVESTMENT SERVICES, LLC
January 25, 2002 - November 5, 2008
KESTRA INVESTMENT SERVICES, LLC
January 1, 1999 - June 17, 2003
JOANNIDES & ASSOCIATES, LLC
February 3, 1994 - January 28, 2002
MUTUAL SERVICE CORPORATION
February 8, 1974 - February 11, 1994
GUARDIAN INVESTOR SERVICES LLC
August 3, 1970 - February 8, 1974
GLICOA ASSOCIATES, 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 1
Date: 6/24/1966
Registered Representative ExaminationSeries 00
Date: 9/26/1969
General Securities Principal ExaminationCurrent Firm
STURNIOLO JOSEPH S & ASSOCIATES INC
CRD#: 107609 / SEC#: 801-52144
Contact information
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 52,502,003 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
