Dennis M. Dugan
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 Michael Dugan, who also goes by Dennis Dugan, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2000. Dennis had worked at 4 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2007 - January 30, 2012
BLUE POINT SECURITIES INC.
May 28, 2004 - April 30, 2007
G&L PARTNERS, INC.
October 25, 2001 - June 7, 2004
G&L PARTNERS, LLC
October 1, 2000 - October 25, 2001
THE GRISWOLD COMPANY, INCORPORATED
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 25
Date: 12/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
BLUE POINT SECURITIES INC.
CRD#: 130932 / SEC#: , 8-66408
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSEO, EUGENE JOHN | CEO/PRES/DIR/CCO/CFO/COO | 1193307 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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