Dennis L. Keating
Professional summary
Dennis Lee Keating II was barred by both the FINRA and the SEC 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 1997. Prior to being barred, Dennis had worked at 4 firms, which includes WHITE PACIFIC SECURITIES INC., TORREY PINES SECURITIES INC., 1ST DISCOUNT BROKERAGE INC., ACUMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2008 - December 31, 2009
WHITE PACIFIC SECURITIES, INC.
June 11, 2007 - November 10, 2008
TORREY PINES SECURITIES, INC.
April 28, 2006 - November 10, 2008
TORREY PINES SECURITIES, INC.
August 21, 2002 - May 4, 2006
1ST DISCOUNT BROKERAGE, INC.
August 15, 1997 - August 21, 2002
ACUMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WHITE PACIFIC SECURITIES, INC.
CRD#: 42505 / SEC#: , 8-49936
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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