Dennis R. Guenther
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 Roger Guenther, CFA was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1998. Dennis had worked at 5 firms and has passed the Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2013 - December 20, 2013
CONLEY INVESTMENT COUNSEL INC
July 19, 2013 - December 20, 2013
SMITH HAYES FINANCIAL SERVICES CORPORATION
October 7, 2003 - February 20, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 28, 2003 - February 20, 2013
ORION PORTFOLIO SOLUTIONS, LLC
April 16, 1998 - November 7, 2003
ORBITEX FUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CONLEY INVESTMENT COUNSEL INC
CRD#: 111030 / SEC#: 801-56975
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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