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Dennis K. Mcnell

Some features on this profile are disabled
CRD#: 4414405
DM

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 King Mcnell was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2001. Dennis had worked at 3 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 6, 2005 - December 7, 2006

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

November 5, 2004 - December 3, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

April 26, 2004 - January 5, 2005

ORION TRADING, LLC

BD
CRD#: 43932
WINTER PARK, FL
Past

January 18, 2002 - January 3, 2005

REDWOOD TRADING, LLC

BD
CRD#: 114774
SAN FRANCISCO, CA
Past

July 20, 2001 - May 31, 2002

ORION TRADING, LLC

BD
CRD#: 43932
WINTER PARK, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/26/2002
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/23/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/4/2001
Registered Options Principal Examination

Current Firm

LP
LIGHTSPEED PROFESSIONAL TRADING LLC
E*TRADE PROFESSIONAL TRADING, LLC | TRADESCAPE.COM SECURITIES, LLC | MOMENTUM SECURITIES, L.L.C. | MOMENTUM SECURITIES, INC. | LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293 / SEC#: , 8-48713

BD
Terminated by SEC on 10/03/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 12/10/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED FINANCIAL, LLCOWNER
ACTMAN, ANDREW HOWARDCHIEF STRATEGY OFFICER2869087
BARRILLEAUX, JANICE JONESCHIEF OPERATIONS OFFICER2339063
EHRLICH, STEPHEN JAYCHIEF EXECUTIVE OFFICER2454375
EHRLICH, STEPHEN JAYCHIEF COMPLIANCE OFFICER2454375
IGNALL, SCOTT STEVENCHIEF TECHNOLOGY OFFICER2783532
LYONS, JASON ROBERTCHIEF FINANCIAL OFFICER2921790

Disclosures

Regulatory Event8

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.

Company Information

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

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