Denise M. Evans
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.
Denise Marie Evans was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2001. Denise had worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 14, Series 53 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 2, 2020 - January 5, 2023
CWS CAPITAL PARTNERS LLC
February 7, 2020 - January 5, 2023
CWS INVESTMENTS
February 7, 2020 - January 5, 2023
CWS INVESTMENTS
April 10, 2013 - May 13, 2019
STONNINGTON GROUP, LLC
April 10, 2013 - May 13, 2019
STONNINGTON GROUP, LLC
November 14, 2012 - April 1, 2013
ANTAEUS CAPITAL, INC.
September 19, 2008 - April 1, 2013
ANTAEUS CAPITAL, INC.
March 15, 2002 - June 5, 2002
ASSOCIATED PLANNERS SECURITIES CORPORATION OF NEVADA, INC.
August 20, 2001 - June 20, 2008
ASSOCIATED SECURITIES CORP.
Primary Firm SEC Registration
CWS CAPITAL PARTNERS LLC
CRD#: 166871 / SEC#: 801-107474
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CWS CAPITAL PARTNERS LLC
CRD#: 166871 / SEC#: 801-107474
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 293,170,929 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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