Dennis W. Thompson
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 Wayne Thompson was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1997. Dennis had worked at 12 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2014 - April 17, 2014
TEXAS SECURITIES, INC.
October 17, 2011 - January 24, 2014
DOUGLAS SCOTT SECURITIES, INC.
November 15, 2010 - August 15, 2011
TITUS FINANCIAL, INCORPORATED
November 18, 2009 - April 6, 2010
TITUS FINANCIAL, INCORPORATED
January 6, 2009 - February 18, 2009
THE PATRIOT GROUP SECURITIES
September 11, 2008 - November 4, 2008
AMEREST SECURITIES, INC.
May 9, 2005 - April 16, 2008
AMEREST SECURITIES, INC.
September 26, 2003 - March 23, 2004
LONE STAR SECURITIES, INC.
April 21, 2003 - May 16, 2003
MORGAN SPAULDING, INC.
January 22, 2001 - September 20, 2002
MORGAN SPAULDING, INC.
July 11, 2000 - November 17, 2000
TRAVIS MORGAN SECURITIES INC.
September 30, 1999 - July 11, 2000
GREAT WEST PARTNERS, INC.
January 29, 1999 - February 22, 1999
GRAND FINANCIAL, INC.
January 8, 1999 - July 15, 1999
PRINCIPAL SECURITIES, INC.
August 20, 1997 - October 5, 1998
LONE STAR SECURITIES, INC.
February 12, 1997 - August 30, 1997
REEF SECURITIES, 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
TEXAS SECURITIES, INC.
CRD#: 120148 / SEC#: , 8-65276
Contact information
FINRA licenses (51 States and Territories)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
