Dennis A. Boggess
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 Alan Boggess was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1999. Dennis had worked at 6 firms and has passed the Series 63, SIE 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
July 24, 2017 - November 18, 2024
THE LEADERS GROUP, INC.
January 8, 2015 - April 27, 2017
NATIONWIDE SECURITIES, LLC
November 19, 2010 - December 31, 2014
NATIONWIDE SECURITIES, LLC
August 29, 2008 - November 18, 2010
LPL FINANCIAL LLC
February 23, 2005 - August 2, 2005
STATE FARM VP MANAGEMENT CORP.
June 19, 2001 - March 27, 2002
BRECEK & YOUNG ADVISORS, INC.
September 21, 1999 - January 4, 2005
NATIONAL PENSION & GROUP CONSULTANTS, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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