Dennis M. Kortman
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 Michael Kortman was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1999. Dennis had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2008 - February 8, 2016
MAINLINE WEST MUNICIPAL SECURITIES LLC
October 4, 2006 - October 8, 2008
MOUNTAINVIEW SECURITIES, LLC
May 20, 2002 - May 31, 2005
MOUNTAINVIEW SECURITIES, LLC
January 12, 2000 - August 11, 2000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 27, 1999 - April 13, 2000
HANIFEN, IMHOFF 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
MAINLINE WEST MUNICIPAL SECURITIES LLC
CRD#: 148020 / SEC#: , 8-67952
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAINLINE CAPITAL LLC | MANAGING MEMBER/MEMBER | |
| CASELLI, ANTHONY SCOTT | CHIEF FINANCIAL OFFICER, FINOP & CCO | |
| KREIDLE, BRADLEY JAMES | PRESIDENT | 1755310 |
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.
