Dennis B. Schroeder
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 Barry Schroeder was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1972. Dennis had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - July 2, 2020
GOLDEN EAGLE SECURITIES, INC.
November 5, 2001 - February 15, 2002
WINDSOR STREET CAPITAL, LP
January 28, 2000 - November 5, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
September 21, 1999 - January 28, 2000
WALL STREET STRATEGIES, INC.
November 17, 1997 - September 8, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
March 13, 1992 - July 6, 1993
FMC CAPITAL MARKETS, INC.
February 12, 1990 - September 30, 1991
USF&G INVESTMENT SERVICES, INC.
July 26, 1989 - May 1, 1990
F & G SECURITIES, INC.
April 3, 1989 - September 3, 1991
INTL CUSTODY & CLEARING SOLUTIONS INC.
April 15, 1976 - February 13, 1989
SECURITIES RESOLUTION CORPORATION
February 2, 1972 - January 26, 1982
MILLER & SCHROEDER SECURITIES, 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
Series 00
Date: 1/27/1972
General Securities Principal ExaminationCurrent Firm
GOLDEN EAGLE SECURITIES, INC.
CRD#: 19586 / SEC#: , 8-37788
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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