Dennis R. Thompson
Professional summary
Dennis Ray Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Dennis had worked at 7 firms, which includes CONSOLIDATED FINANCIAL GROUP INC., WELLSTONE SECURITIES LLC, CONSUMER CONCEPTS INVESTMENTS INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., LOCUST STREET SECURITIES INC., COORDINATED CAPITAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2006 - December 31, 2011
CONSOLIDATED FINANCIAL GROUP, INC.
January 24, 2006 - December 31, 2006
WELLSTONE SECURITIES, LLC
January 4, 2006 - December 31, 2007
WELLSTONE SECURITIES, LLC
April 8, 2004 - December 20, 2005
WELLSTONE SECURITIES, LLC
December 6, 2002 - December 20, 2005
WELLSTONE SECURITIES, LLC
October 23, 2002 - December 31, 2002
CONSUMER CONCEPTS INVESTMENTS, INC.
October 29, 2001 - September 30, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 29, 2001 - September 30, 2002
OSAIC FA, INC.
January 21, 2000 - November 16, 2001
LOCUST STREET SECURITIES, INC.
October 9, 1996 - December 31, 1999
COORDINATED CAPITAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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