Dennis A. Spink
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 Arthur Spink was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 20 firms and has passed the Series 63, Series 1 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 14, 2011 - November 5, 2013
OPPENHEIMER & CO. INC.
September 10, 2009 - February 25, 2011
STERNE, AGEE & LEACH, INC.
May 14, 2009 - September 2, 2009
SOUND SECURITIES, LLC
May 6, 2005 - January 2, 2009
FM PARTNERS HOLDINGS LLC
April 18, 2002 - May 10, 2005
LAZARD FRERES & CO. LLC
October 1, 1999 - March 22, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 14, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 1, 1997 - June 18, 1999
WELLS FARGO CLEARING SERVICES, LLC
May 6, 1994 - February 11, 1997
NATWEST SECURITIES CORPORATION
November 15, 1990 - April 12, 1994
TUCKER ANTHONY INCORPORATED
September 8, 1989 - October 12, 1990
DOMINICK & DICKERMAN LLC
January 30, 1984 - March 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
January 18, 1982 - March 15, 1984
UBS FINANCIAL SERVICES INC.
June 25, 1979 - January 25, 1982
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
May 11, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
August 6, 1975 - June 29, 1976
FAULKNER, DAWKINS & SULLIVAN INC.
November 22, 1974 - July 13, 1975
DRESDNER SECURITIES (USA) INC.
May 17, 1974 - January 20, 1975
G. H. WALKER, LAIRD INCORPORATED
July 1, 1971 - May 4, 1974
KIDDER, PEABODY & CO., INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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: 6/24/1971
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
