Dennis D. Bailey
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 Dale Bailey, who also goes by Dennis D. Bailey, was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 2000. Dennis had worked at 8 firms and has passed the Series 66 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
October 31, 2006 - December 12, 2007
VFINANCE INVESTMENTS, INC
March 31, 2006 - May 30, 2006
CHICAGO INVESTMENT GROUP, LLC
July 29, 2004 - March 31, 2006
SAMCO FINANCIAL SERVICES, INC.
July 19, 2004 - March 31, 2006
SAMCO FINANCIAL SERVICES, INC.
November 6, 2003 - June 23, 2004
QA3 FINANCIAL LLC
October 31, 2003 - June 23, 2004
QA3 FINANCIAL CORP.
April 22, 2002 - October 13, 2003
LPL FINANCIAL LLC
April 19, 2002 - October 13, 2003
LPL FINANCIAL LLC
March 7, 2001 - April 12, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 10, 2000 - March 8, 2001
CHAPMAN 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
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
