Dennis J. Fiore
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 Joseph Fiore, who also goes by Dennis J Fiore, Dennis Joseph Fiore Jr, Dennis Joshep Fiore Jr, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1996. Dennis had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - January 29, 2018
FORESTERS EQUITY SERVICES, INC.
April 8, 2014 - January 29, 2018
FORESTERS EQUITY SERVICES, INC.
December 22, 2009 - November 15, 2013
INDEPENDENT FINANCIAL GROUP, LLC
March 3, 2009 - November 15, 2013
INDEPENDENT FINANCIAL GROUP, LLC
December 8, 2006 - July 16, 2008
FIRST ALLIED SECURITIES, INC.
October 26, 2006 - December 4, 2006
OSAIC SERVICES, INC.
October 31, 2005 - December 4, 2006
OSAIC SERVICES, INC.
April 9, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
March 4, 2003 - March 24, 2003
NATIONAL PLANNING CORPORATION
January 11, 2000 - March 4, 2003
SENTRA SECURITIES CORPORATION
January 6, 2000 - March 4, 2003
SENTRA SECURITIES CORPORATION
July 12, 1996 - January 10, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 12, 1996 - January 10, 2000
MSI FINANCIAL SERVICES, 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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