Dennis R. Rose
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 Robert Rose was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1996. Dennis had worked at 1 firm and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1996 - November 25, 2015
ALTON SECURITIES GROUP 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 28
Date: 2/16/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALTON SECURITIES GROUP INC.
CRD#: 39639 / SEC#: , 8-48776
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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.
