Dennis A. Brower
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 Brower was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1973. Dennis had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2001 - October 21, 2021
LASALLE ST SECURITIES, L.L.C.
May 21, 1998 - October 1, 2001
EISNER SECURITIES, INC.
March 5, 1993 - April 30, 1998
AEGON USA SECURITIES INC.
January 31, 1980 - January 20, 1993
UBS FINANCIAL SERVICES INC.
November 3, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 25, 1973 - September 14, 1978
PIPER SANDLER & CO.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 5/3/1983
Interest Rate Options ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 9/19/1973
Registered Representative ExaminationSeries 40
Date: 12/23/1976
Registered Principal ExaminationCurrent Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
