Denison E. Smith
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.
Denison Everett Smith, who also goes by Denny Everett Smith, was a registered financial professional .
Denison is a previously registered financial professional and started their career in finance in 1969. Denison had worked at 12 firms and has passed the Series 65, Series 63, Series 1 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
August 25, 2011 - March 25, 2014
SANDLAPPER SECURITIES, LLC
February 10, 2011 - August 18, 2011
CAPWEST SECURITIES, INC.
June 3, 1999 - January 31, 2011
ITA FINANCIAL SERVICES, LLC
March 12, 1999 - July 23, 1999
NORTHSTAR SECURITIES, INC.
November 10, 1995 - September 14, 1998
FINANCIAL WEST GROUP
October 24, 1995 - November 10, 1995
UNICORP FINANCIAL GROUP
July 21, 1992 - October 28, 1992
PLANNED INVESTMENTS INC.
May 21, 1992 - October 26, 1994
IFG NETWORK SECURITIES, INC.
February 22, 1974 - January 17, 1989
THE PIONEER GROUP, INC.
July 10, 1970 - April 26, 1971
MAGNUS SECURITIES CORPORATION
February 2, 1970 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
September 2, 1969 - January 1, 1972
OPPENHEIMER ASSET MANAGEMENT CORPORATION
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: 8/27/1969
Registered Representative ExaminationSeries 00
Date: 12/3/1969
General Securities Principal ExaminationCurrent Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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