Dennis C. Jaime
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 Carlos Jaime, who also goes by Dennis C Jaime, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1997. Dennis had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - February 4, 2022
INVESTMENT DISTRIBUTORS, INC.
July 2, 2019 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 17, 2009 - June 3, 2019
EMPOWER FINANCIAL SERVICES, INC.
February 1, 2005 - March 25, 2009
EVERLAKE DISTRIBUTORS, LLC
August 7, 2000 - April 30, 2003
BANC ONE SECURITIES CORPORATION
February 1, 1999 - April 30, 2003
BANC ONE SECURITIES CORPORATION
September 22, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
July 23, 1997 - January 5, 1998
CHARLES SCHWAB & CO., INC.
February 19, 1997 - June 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 2/9/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/9/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
INVESTMENT DISTRIBUTORS, INC.
CRD#: 35490 / SEC#: , 8-46802
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEE, FELICIA MALLOCH | SECRETARY | 7498538 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| TENNENT, RAYBURN EDWARD | SR ANALYST FINANCIAL REPORTING | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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