Denis G. Wuestman
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.
Denis Gerard Wuestman, who also goes by Denis G. Wuestman, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 2000. Denis had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2007 - June 18, 2013
TD AMERITRADE, INC.
February 15, 2007 - June 18, 2013
TD AMERITRADE, INC.
September 12, 2005 - January 8, 2007
EQUITABLE ADVISORS, LLC
September 20, 2002 - December 8, 2003
SUMMIT FINANCIAL RESOURCES INC
September 20, 2002 - December 8, 2003
SUMMIT EQUITIES, INC.
September 12, 2002 - December 8, 2003
SUMMIT EQUITIES, INC.
December 8, 2000 - August 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
