Dennis E. Lowenthal
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 Elliot Lowenthal was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2009 - December 31, 2014
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
February 13, 2009 - December 31, 2014
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 9, 2003 - March 9, 2009
CITIGROUP GLOBAL MARKETS INC.
December 4, 2001 - March 9, 2009
CITIGROUP GLOBAL MARKETS INC.
August 20, 1998 - December 7, 2001
D.A. DAVIDSON & CO.
September 30, 1994 - September 1, 1998
PIPER SANDLER & CO.
March 5, 1984 - October 20, 1994
UBS FINANCIAL SERVICES INC.
March 21, 1979 - April 9, 1984
E. F. HUTTON & COMPANY INC
September 7, 1976 - April 9, 1979
FOSTER & MARSHALL INC.
April 11, 1975 - October 2, 1976
HESS, MOORE & CO. MCFAUL, INC.
September 8, 1971 - July 15, 1974
KIDDER, PEABODY & CO., INCORPORATED
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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 8/27/1971
Registered Representative ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
