Dennis E. Pifer
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 Edward Pifer, who also goes by Denny Pifer, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1973. Dennis had worked at 11 firms and has passed the Series 63, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 1995 - December 31, 2004
CAPITAL SECURITIES OF AMERICA, INC.
March 1, 1993 - March 17, 1995
NORTHRIDGE CAPITAL CORPORATION
May 1, 1992 - February 23, 1993
ARGENT SECURITIES, INC.
April 23, 1990 - May 13, 1992
MARION BASS SECURITIES CORPORATION
November 19, 1987 - March 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1984 - November 9, 1987
SWINK & COMPANY, INC.
August 13, 1982 - January 27, 1984
HERETH, ORR & JONES, INC.
June 5, 1980 - August 3, 1982
SWINK & COMPANY, INC.
August 25, 1978 - July 19, 1980
HERETH, ORR & JONES, INC.
March 14, 1978 - September 22, 1978
W. N. ESTES & COMPANY, INC.
September 5, 1973 - February 24, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
September 5, 1973 - February 24, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 1973 - February 24, 1977
IDS LIFE INSURANCE COMPANY
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 1
Date: 8/27/1973
Registered Representative ExaminationCurrent Firm
CAPITAL SECURITIES OF AMERICA, INC.
CRD#: 36405 / SEC#: , 8-47253
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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